by Ara Jabrayan | Sep 20, 2017 | Fiduciary Duty, Form ADV, RIA Compliance, RIA Compliance Policies, SEC Investment Adviser Compliance, State Investment Adviser Compliance
As you know, the Securities and Exchange Commission (“SEC”) has adopted amendments to Form ADV Part 1A that will go into effect on October 1, 2017. The expanded Form ADV is part of a new rulemaking effort outlined in SEC Release IA-4509. The updated Form ADV will...
by Ara Jabrayan | Feb 21, 2017 | Division of Investment Management News, Fiduciary Duty, Form ADV, RIA Compliance, RIA Compliance Policies, SEC Investment Adviser Compliance
On February 7, 2017, the SEC’s Office of Compliance Inspections and Examinations (OCIE) published a list of the five compliance topics most frequently identified in deficiency letters sent to SEC-registered investment advisers. After reviewing more than 1,000...
by Ara Jabrayan | Sep 20, 2016 | Form ADV, Investment Adviser Code of Ethics, RIA Compliance, RIA Compliance Policies, SEC Investment Adviser Compliance
On September 12, 2016, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert, which announced its intent to conduct examinations of Registered Investment Advisers (RIAs) that employ or contract with persons who have a history of...
by Ara Jabrayan | Sep 6, 2016 | Form ADV, RIA Compliance, SEC Investment Adviser Compliance, SEC Rules
On August 25, 2016, the SEC adopted amendments to several rules under the Investment Advisers Act and revised its registration and reporting forms. The amendments are designed to enhance the reporting and disclosure of information provided by Registered Investment...
by RIA Compliance | Nov 19, 2015 | Form ADV, RIA Compliance, RIA Compliance Polciies, SEC Investment Adviser Compliance, SEC Rules, State Investment Adviser Compliance
It appears that many investment advisers are still unclear about the intent and use of Form ADVs. The purpose of this post is to provide a Form ADV primer. Introduction to the Form ADV Form ADV Part 1 contains registration information. ADV Part 2A of the Form ADV is...
by RIA Compliance | May 21, 2015 | Form ADV, RIA Compliance, SEC Investment Adviser Compliance, SEC Rules
On May 20, 2015, The Securities and Exchange Commission proposed rules, forms and amendments to modernize and enhance the reporting and disclosure of information by investment companies and investment advisers. The new rules would enhance the quality of information...
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