As an investment adviser, you are required to file an amendment to your Form ADV every year within 90 days of the firm’s fiscal year end. For many investment advisers, this is the only time during the year that an amendment is filed, but this may not be the only time one should be filed. There are certain changes that require investment advisers to file amendments “promptly.” When filing the Form ADV annual amendment, investment advisers should do a complete review of the Form ADV and, in addition to the items that are only required to be updated once a year, investment advisers should update any information that is inaccurate, not current, or requires additional disclosures. However, doing the revisions only once a year may mean that the investment adviser is not in compliance with regulatory requirements. Join us for this webinar to learn more about maintaining your Form ADV on an ongoing basis. During this webinar, our consultants will briefly discuss the Form ADV annual amendment filing requirements. Additionally, we will discuss the requirements for “other-than-annual amendments.” We will talk about things that occur throughout the year that may require an investment adviser to file an amendment promptly and some of the common problems we see with investment advisers not maintaining current and accurate Form ADVs. We will also provide tips for maintaining a compliant Form ADV on an ongoing basis.
Date Recorded: February 21, 2019
Time: 66 minutes
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