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 »

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 »

Cryptocurrencies… are they considered a security?

Cryptocurrencies… are they considered a security?

03 January 2018

SEC Chairman Jay Clayton recently issued a statement about the highly discussed topic of cryptocurrencies and initial coin offerings (ICOs) on December 12, 2017. He addressed main street investors and market professionals, which includes investment advisers and broker-dealers, among others. Clayton warned market professionals to review SEC investigative reports and subsequent enforcement actions. The conclusionRead More »

Advertising Risk Alert

Advertising Risk Alert

01 October 2017

An adviser’s use of marketing materials continues to be an area of high concern for the SEC, and with good reason. Marketing materials are how you showcase your firm to the world. They’re used to obtain investors, to grow the business, and find new opportunities. And you better believe the SEC is going to reviewRead More »