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Relying Adviser (6)
Your search for Relying Adviser returned 6 results.
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12/14/2017 | Content area: Investment Adviser
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...
8/29/2016 | Content area: Investment Adviser
The Securities and Exchange Commission (the “Commission” or “SEC”) is adopting amendments to Form ADV that are designed to provide additional informat...
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: Investment Adviser
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: Investment Adviser
This May 2015 proposal from the SEC would amend Form ADV reporting, especially around separately managed accounts.
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...


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