19 July 2020
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 advisers to file a report with the Commission, via the Edgar system,Read More »
03 January 2020
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 with the information needed for them to make an educated decision about whetherRead More »
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 »
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 »
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 »
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 »