Form ADV

SEC examiners may not know if your firm has hired an outsourced CCO until they arrive on site. That would change should the agency’s new ...

In a move to “modernize” the industry data the SEC receives from investment advisers and investment companies, the Commission May 20th unanimously approved two new ...

This May 2015 proposal from the SEC would amend Form ADV reporting, especially around separately managed accounts.

The recommendations before us today will vastly improve the type and format of the information that funds provide to the Commission and to investors. Investors ...

The proposed amendments should improve the quality and depth of the data that investment advisers disclose and, thereby, enhance the Commission’s risk monitoring and oversight ...

The rule proposals we are considering today represent a very important step forward for the Commission. It is critical for the SEC to change and ...

I am particularly glad that these proposals also take advantage of today’s technology. The information provided on Forms N-PORT and N-CEN would be in ...

She states that Today’s "proposal makes numerous sensible revisions. These revisions should help to modernize the information being reported to clients and the Commission. ...

As dynamic as the financial services industry can be, all of that flux doesn’t seem to generate material changes in the Form ADV brochures of ...

The hint came at IA Watch’s spring compliance conference: on the horizon the industry could expect a number of conflicts cases to be recommended for ...