Form ADV Tag

Peter Driscoll, Director of the SEC’s Division of Examinations, told attendees at the Investment Adviser Association meeting March 4, 2021…

On March 25, 2020, the SEC issued a new Order extending and relaxing some of the conditions pertaining to the…

On March 23, 2020, the SEC’s Office of Compliance Inspections and Examinations posted an announcement on its website that “in…

The SEC has made several COVID-19 related announcements this week pertaining to investment managers that offer relief from routine regulatory…

In a proposal that would mark the first changes since 1961, the SEC has introduced amendments to modify the “Advertisements…

A sweep of investment advisers is underway by the U.S. Securities and Exchange Commission, which has sent out many letters…

You timely filed your Form ADV within 90 days of fiscal year end, but, did you properly answer all the…

Leading alternative investment management firm Hamilton Lane recently announced that it successfully filed its Form ADV using Compliance Solutions Strategies’…

Are you ready for Form ADV Part 3? As if the last annual updating amendment filing was not tedious enough…

Given the dramatic impending changes in regulatory reporting requirements for asset management firms, their chief operating officers, administrators and compliance…

The SEC’s Custody Rule continues to be a common source of confusion and a landmine for noncompliance. Custodial paperwork has…

On September 28, 2017, the SEC provided regulatory relief to individuals and entities subject to the ’33 Act, ’34 Act…