It’s likely that your investment advisor firm is currently working on its Form ADV annual amendment since it must be filed within ninety (90) days after an advisor’s fiscal year end. You should pay particular attention to updating the firm’s assets under management since regulators have stated an advisor’s assets under management must be current [...]
Monthly Archives January 2006
Final Renewal Statements and Web CRD/IARD Functionality
Beginning Tuesday, January 3, 2006 advisor firms will be able to retrieve their Final Renewal Statements via the Web CRD/IARD system. It is important that all advisor firms review their Final Renewal Statement to ensure its accuracy. The Final Renewal Statement will indicate one of three things. 1. Paid in Full – If your firm’s [...]
