Archive Of The Category ‘Filing Deadlines‘

Form CRS: Ongoing Obligations

Form CRS: Ongoing Obligations

21 July 2021

Main Contributor: Katie Mogan, IACCP® Vice President, Senior Compliance Consultant The one-year anniversary of Form CRS has come and gone, yet there are still questions about delivery requirements and annual updates.  First and foremost, there is NO annual update requirement. However, there are a few important triggers with re-filing your Form CRS, as well asRead More »

SEC Proposed Changes on 13F

SEC Proposed Changes on 13F

19 July 2020

Main Contributor: Katie Mogan, IACCP® Vice President, Senior Compliance Consultant   On July 10th, the SEC released a proposal to amend reporting requirements of Form 13F to update the reporting threshold which has not been adjusted in over 40 years. What is 13F? Section 13F of the Securities and Exchange Act requires registered investment advisersRead More »

New SEC Disclosure Form

New SEC Disclosure Form

03 January 2020

Main Contributor: Elizabeth Cope, CPA, CSCP, CIPM, CEO & Lead Consultant   Have you heard? There is a new form in town. It goes by many names…it is referred to as the Client Relationship Form, Form CRS, or even ADV Part 3. The intent of this new form is to provide your Retail Investors withRead More »

2020 RIA Compliance Calendar & Filing Deadlines

2020 RIA Compliance Calendar & Filing Deadlines

19 December 2019

The purpose of this compliance calendar is to help you keep track of regulatory filing deadlines for 2020.  To receive reminders, make sure you join our mailing list! 2020 SEC Regulatory Deadlines for Investment Advisers The filing deadlines are listed below in chronological order, with additional details of RIA form and filing obligations toward the end.Read More »

2019 RIA Compliance Calendar & Filing Deadlines

2019 RIA Compliance Calendar & Filing Deadlines

02 January 2019

The purpose of this compliance calendar is to help you keep track of regulatory filing deadlines for 2019.  To receive reminders, make sure you join our mailing list! 2019 SEC Regulatory Deadlines for Investment Advisers The filing deadlines are listed below in chronological order, with additional details of RIA form and filing obligations toward theRead More »

2018 RIA Compliance Calendar & Filing Deadlines

2018 RIA Compliance Calendar & Filing Deadlines

27 February 2018

Don’t miss a deadline!  We’ve put together a compliance calendar to help you keep track of regulatory filing deadlines and update your compliance calendar for 2018.  You might want to bookmark this one! SEC Regulatory Deadlines for Investment Advisers We have included the filing deadlines in chronological order.  Additional details, including definitions and descriptions ofRead More »

How to Prepare for ADV Part 2A Updates

How to Prepare for ADV Part 2A Updates

07 February 2018

Haven’t looked at your ADV Part 2A in months? Staring at your computer screen, wondering where to start? Check out our ADV Part 2A checklist. Did you have any major changes to your firm’s business in 2017? Make a list! Have you opened or closed any new products or funds in 2017? Do your productsRead More »