Each year within 90 days of a firm’s fiscal year end, investment advisers must file a Form ADV annual amendment. This year investment advisers will have to provide more information than they have in the past due to changes to the Form ADV that were approved last year. These changes become effective October 1, 2017 and any Form ADV filed after this date will be required to provide the new data. For most existing investment advisers, this means that the new data will be required when they file the Form ADV annual amendment. These changes will likely affect almost every investment adviser and many advisers may not be prepared to gather the additional data that is being requested on the Form ADV. During this webinar RIA Compliance Consultants will provide an overview of the new information that will be required after October 1. Investment advisers should attend this webinar so that they can begin preparing their data early this year to make sure that they can gather the necessary data in the manner that the SEC is requesting it. Our consultants will also briefly discuss some of the common mistakes we see when investment advisers are filing their annual amendments.
Date Recorded: September 7, 2017
Time: 78 minutes
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This presentation is offered for educational purposes only and should not be considered an engagement with Presenter or Sponsor. This presentation should not be considered a comprehensive review or analysis of the topics discussed today. These materials are not a substitute for consulting with an attorney or compliance consultant in a one-on-one context whereby all the facts of your situation can be considered in their entirety.
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Information provide during this presentation relates solely to the Investment Advisers Act of 1940 and the rules thereunder and, at times, we may reference similar state securities rules and regulations specific to registration as an investment adviser. Certain circumstances or arrangements you may have may warrant you to consider other regulations that may apply including, but not limited to: the Investment Company Act of 1940; the Securities Act of 1933; the Securities Exchange Act of 1934; ERISA and other Department of Labor regulations; federal or state laws and regulations and self-regulatory (e.g., FINRA) rules for broker-dealers and registered representatives/securities agents of broker-dealers; and state insurance rules and regulations. The Sponsor of this presentation does not provide any advice or consulting services outside the scope of the Investment Advisers Act of 1940 or similar investment adviser state securities rules and regulations. If you need advice regarding any other rules or regulations, the Sponsor recommends that you consult with an attorney or consultant that specializes in those specific rules or regulations.
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