Compliance Tips for COVID-19 – Compliance Training Video




During this free investment adviser compliance training webinar, RIA Compliance Consultants’s President, Bryan Hill, discussed Compliance Tips for  COVID-19 and volatile markets. Bryan highlights privacy policies, succession plans, suitability, and business continuity planning. Bryan also talks about Form ADV Annual Amendment and ADV Part 3 filing deadlines.

Click the following link to access the slides from this presentation Compliance Tips for COVID-19.Webinar.03.25.2020 4849-0107-5640 – Copy

Securities Regulators Responses to COVID-19

SEC Response

Due to the further disruptions facing investment adviser firms related to COVID-19, the U.S. Securities and Exchange Commission (SEC) modified its original order of March 13, 2020 (“Original Order”), which provided an investment adviser firm registered with the SEC or an exempt reporting adviser (“ERA”) a 45-day extension to file the Form ADV Annual Amendment or Form PF and deliver the Form ADV Part 2A (or summary of material changes) to existing investment advisory clients if certain conditions were met by the investment adviser firm.  (Please see our previous blog entry for more details about the SEC’s initial Response to COVID-19 and the conditions for an investment adviser to obtain relief.) To read more about the SEC’s response to COVID-19 please read our blog post available through the following link .

Colorado Response

Due to disruptions caused by COVID-19 pandemic, the Colorado Securities Commission issued a Temporary Order relief for investment adviser firms registered with the Colorado Division of Securities. According to the relief order, an investment adviser firm registered with the Colorado Securities Commissioner, “may perform any of the Form ADV filing, updating and customer delivery requirement set forth by the Colorado Securities Act and related regulations up to 45 days after such action is due to be performed.” In effect, with this order relief Colorado extends its ADV filing deadline. To read more about Colorado’s response to COVID-19 please read our blog post available through the following link


The information contained in this Frequently Asked Questions webpage is general in nature and intended for educational purposes only and is not intended to be a comprehensive analysis of the securities regulations applicable to registered investment advisers. It is not intended to constitute compliance consulting advice or apply to any particular investment adviser firm’s specific situation. For more information, please see our Disclosures.