Currently pending amendments to Form ADV have a compliance date of October 1, 2017 and, as of that date, an adviser filing an initial Form ADV or an amendment to an existing Form ADV must use the revised Form ADV. In an August 2017 “Information Update,” the staff of the Division of Investment
More Posts
SEC Grants Limited Relief from the Custody Rule for Advisers Relying on Clients’ Standing Letters of Instruction
OCIE Identifies Top Five Adviser Compliance Issues
Enforcement Focus on Advisers’ “Cherry-Picking” Continues
FINRA Fine Addresses Broker Compensation and Conflicts of Interest
The SEC Adopts Amendments to Form ADV and Recordkeeping Rule: Advisers Now Required to Disclose Information About Separately Managed Accounts
Double-Check the Math: Advisers Should Not Provide Clients With Performance Data Created by Other Investment Managers Without Verifying the Information
Investment Management Legal + Regulatory Update – August 2016
Section 12(d)(1) and Business Development Companies
OCIE Gives Advisers a Heads-Up About Its Latest Sweep Examination Initiative
Connect: http://www.mofo.com/Kelley-A-Howes/
Subscribe: Subscribe via RSS