Form ADV

Krueger favored his personal accounts over discretionary brokerage customer and advisory client accounts when he executed day trades or delayed allocation of trades until after ...

The complication of answering new Form ADV Item 5.D. (clients) just evaporated. Count your clients the “way you normally” do, according to a new SEC ...

The SEC released in September 2017 16 new Form ADV FAQs to help the industry navigate its revised form.

If your fiscal year end requires you to update your Form ADV by November – or a material change prompts an early update – you ...

STIS did not adequately inform its advisory clients of the conflicts of interest presented by its IARs’ share class selections and the receipt by STIS ...

If you’ve hired David Osunkwo to provide compliance services, you’ll want to search for an alternative – at least for the next year.   That’s ...

Registrants outsourced their compliance responsibilities to Respondent Strategic Consulting Advisors, LLC (“SC Advisors”), a firm that offered compliance consulting and Chief Compliance Officer (“CCO”) services ...

As a result of the conduct described above, Osunkwo caused Aegis Capital’s violations of, Section 204 of the Advisers Act and Rule 204-1(a)(1) thereunder, which ...

Recently, Commission staff has received inquiries about circumstances in which a filer determines that it must file an other-than-annual amendment to Form ADV on or ...

If the new information update from the SEC’s Division of Investment Management feels like déjà vu, that’s because we reported its essence five weeks ago ...