Category Archives: Form ADV
The establishment of policies and procedures designed to monitor the outside business activities (“OBAs”) of supervised persons (i.e. officers, directors, partners, investment advisor representatives, and employees) should be part of every registered investment advisor firm’s written compliance programs. RIA Compliance Consultants, Inc. suggests that some type of “outside business activities form” be created and all [...]
Posted by Bryan Hill
Monday, September 7, 2009
Now that we are into a new year, can you confirm your registered investment advisor and its advisor representatives were properly renewed for 2009? Every year there are always a handful of firms that fail to submit renewal fees through the IARD system in a timely fashion. Therefore, even if you think the renewal payment [...]
Beginning Monday, November 10, 2008, investment advisor firms can access their 2009 Preliminary Renewal Statements via their IARD account. The Preliminary Renewal Statement must be paid, in full, by Friday, December 12, 2008. Because it takes approximately two days for payment to post to the IARD account, the funds should arrive no later than Wednesday, [...]
Posted by Bryan Hill
Wednesday, October 15, 2008
According to the proposed new Form ADV Part 2 rule, registered investment advisors will be required to insert a table of contents at the beginning of their brochures and an index at the end of their brochures. In the proposing rule releaseoffered earlier this year for consideration by the U.S. Securities and Exchange Commission (“SEC”), [...]
Posted by Bryan Hill
Friday, September 12, 2008
According to the proposed new Form ADV Part 2 rule offered earlier this year for consideration by the U.S. Securities and Exchange Commission (“SEC”), registered investment advisors will be required to insert a Material Changes page at the beginning of their brochures. Material changes could be summarized on the Cover Page of the brochure or [...]
Posted by Bryan Hill
Friday, September 12, 2008
The new Form ADV Part 2 proposal outlines numerous changes regarding additional and more detailed disclosures of a registered investment advisor’s services, conflicts of interests and material arrangements. However, the most significant new requirement under the proposed rule may be an administrative one. Currently, the U.S. Securities and Exchange Commission (“SEC “) and state registered [...]
Posted by Bryan Hill
Friday, September 12, 2008
Join us for a webinar, Understanding the SEC’s Proposed New Form ADV Part 2, on Thursday, September 25. Reserve your complimentary webinar seat now by clicking here. Take the opportunity to better understand the details of the SEC’s proposed new Form ADV Part 2 by attending a complimentary webinar, Understanding the SEC’s Proposed New Form [...]
Posted by Bryan Hill
Monday, September 8, 2008
As required under SEC Rule 204-3 under the Investment Advisers Act of 1940 and similar state securities rules, a registered investment advisor is required to provide all clients with a disclosure brochure. In order to comply with this rule, registered investment advisors may provide a copy of their Form ADV Part II or may provide [...]
Posted by Bryan Hill
Monday, September 8, 2008
RIA Compliance Consultants, Inc. intends to submit formal comments to the U.S. Securities and Exchange Commission (“SEC”) regarding proposed changes to Part 2 of Form ADV. The “re-proposed” changes were announced earlier this month after an initial attempt to change Part 2 of Form ADV was made in 2000. RIA Compliance Consultants is encouraging registered [...]
The U.S. Securities and Exchange Commission (“SEC”) published on its website today the actual text of the proposed amendments to the Form ADV Part 2 in SEC Release No. IA-2711. The proposed amendments to the Form ADV Part 2 and related SEC rules will be open for comment until May 16, 2008. Upon completing its [...]
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