12/14/2017 | Content area:
Sometimes change is good. Take the SEC’s decision to create Schedule R so that a lone adviser need complete only one Form ADV despite hosting subsidia...
12/06/2017 | Content area:
8/29/2016 | Content area:
The Securities and Exchange Commission (the “Commission” or “SEC”) is adopting amendments to Form ADV that are designed to provide additional informat...
8/23/2016 | Content area:
These proceedings arise from two distinct breaches of fiduciary duty. First, Apollo entered into certain agreements with portfolio companies that were...
11/05/2015 | Content area:
Investment Adviser | Private Fund
Although the Funds’ limited partnership agreements disclosed that the Funds would be charged for expenses that in the good faith judgment of the gener...
7/02/2015 | Content area:
This July 2015 correction revises the Form ADV example published in an earlier Federal Register. This version shows what the form would look like shou...
5/22/2015 | Content area:
This May 2015 proposal from the SEC would amend Form ADV reporting, especially around separately managed accounts.
2/27/2012 | Content area:
Last month's SECno-action letter creating the concept of a "relying adviser" - and bringing comfort to many firms who learned they won't have to file ...
1/30/2012 | Content area:
That wind you hear may be the collective sigh of relief from advisers concerned this year's rush of registration for new advisers would force special ...
1/18/2012 | Content area:
Investment Advisers Act of 1940 — Sections 203(a) and 208(d)
American Bar Association, Business Law Section
5/02/2011 | Content area:
You won't find among the SEC's new Form ADV FAQs (IA Watch, March 28, 2011) how to resolve the issue of an adviser who oversees multiple funds, includ...
7/30/2010 | Content area:
Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
This is the SEC's request for comment related to the congressionally mandated study of investment adviser and broker-dealer harmonization, including p...