Don’t Stop at Form ADV Annual Amendment – Certain States Require Annual Financial Statement

February 07, 2023

Along with updating your Form ADV Annual Amendment, it’s important to remember that many state securities regulators also require state registered investment adviser firms to submit annual financial statements and/or other documents (e.g., proof of continued coverage of a surety bond, investment advisory client agreement if material changes) directly to the state securities regulator (outside of the IARD/CRD system).

Continue Reading

SEC Brings an Enforcement Action Against an Investment Adviser’s Portfolio Manager for Failing to Disclose a Conflict of Interest Caused by Trying to Help His Daughter’s Career

January 20, 2023

The U.S. Securities and Exchange Commission (“SEC”) recently brought an enforcement action against an investment adviser’s  former portfolio manager of a closed-end investment company for allegedly failing to disclose a conflict of interest caused by the portfolio manager’s efforts to help his daughter’s acting career.

Continue Reading

View More →

Turnkey investment advisor compliance program

Starting an RIA?

Utilize our expertise to leverage your time while growing your new business.

Request a proposal →

Upcoming Webinar

Planning Your Investment Adviser Compliance Program for 2018

Thursday, January 25, 2018 – $69.95

Learn More →