Registered Investment Advisors
Your Investment Advisor Needs To Update Policies & Procedures Due To New Form ADV Part 2
Now that your investment advisor has completed its new Form ADV Part 2, it’s time to update your investment advisor’s written policies and procedures to reflect the regulatory changes related to the Form ADV Part 2.
Electronic Delivery of New Form ADV Part 2
As your investment adviser firm is getting ready to deliver the new Form ADV Part 2 to its investment advisory clients, you may be considering electronic delivery as an option.
The U.S. Securities and Exchange Commission (“SEC”) will permit an investment adviser to deliver the Form ADV Part 2 electronically; however, certain conditions must be met. The following are some of the key requirements.
SEC Open To Extending RIA State Registration Deadline To Early Next Year
Given the gray areas that still remain around which RIAs need to transfer to state supervision and which will remain with the SEC -- assuming that the SEC will still supervise advisors -- the deadline for state registration will probably move up.
Compliance Consultant Says New Form ADV Will Do Little To Improve Consumer Disclosure
The plain English ADV deadline passed yesterday. Are we better off? Compliance consultant Chris Winn has doubts.
"Nebraska Madoff" Dispute Against First Americans Reaches Arbitration Stage
A long-simmering case of an apparent $29 million insurance fraud centered in Nebraska has only made local headlines so far, but the fact that many of these accounts are street-level households makes the allegations especially egregious.
