by Ara Jabrayan | Jan 24, 2022 | ADV Part 2A, compliance deficiencies, Fiduciary Duty, Registered Investment Advisers (RIAs), Uncategorized
On January 11, 2022, a Registered Investment Adviser (RIA) in Rockaway, New Jersey, consented to the entry of an SEC order that sanctioned the firm for several compliance deficiencies. The RIA also agreed to be censured and to cease-and-desist from engaging in the... by Ara Jabrayan | Jan 7, 2022 | Division of Examinations, Fee Calculations, policies and procedures
On November 10, 2021, the SEC’s Division of Examinations (Division) published a Risk Alert containing examiners’ observations regarding investment advisers’ fee calculations. To arrive at these observations, examiners conducted approximately 130 examinations of... by Ara Jabrayan | Jul 27, 2021 | Division of Examinations, Examination Priorities, FORM CRS/Form ADV Part 3, Investment Adviser Representative, Registered Investment Advisers (RIAs), RIA Compliance, RIA Compliance Policies, SEC NEWS, Uncategorized, Wrap fee
Wrap fee programs have been on the SEC’s radar for quite a while. When the SEC published its annual examination priorities in 2017, 2018, and 2019, wrap fee programs were mentioned as putting investors at risk. On July 21, 2021, the SEC’s Division of Examinations... by RIA Compliance | Nov 19, 2015 | Form ADV, RIA Compliance, 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...
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