Archive Of The Category ‘SCS Rule Clarifications‘

Compliant Advertising: Breaking it Down – Part 1:  The Foundation

Compliant Advertising: Breaking it Down – Part 1: The Foundation

29 April 2019

The topic of Advertising is one of the most challenging areas for CCOs.  The challenge begins with the SEC’s definition of “advertisement.”  It’s confusing and outdated. The way that the rule is written makes you feel like you have to run through a flow chart of questions every time you write something, meet with someone,Read More »

ADV Part 1 Changes

ADV Part 1 Changes

07 February 2018

On October 1, 2017, the U.S. Securities and Exchange Commission (“SEC”) amended the ADV Part 1 to obtain more information on registered investment advisers. As the annual amendment date (March 31st, 2018) closes in, we want to summarize important changes and remind you of important practices this filing season. SCS Suggests As you start yourRead More »