A Service of Regulatory Compliance Watch, in partnership with Convergence
“WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must keep this form updated by filing periodic amendments. See Form ADV General Instruction 4."
It’s the warning that keeps you up at night.
- Identify which specific areas of your Form ADV need attention so you can improve your compliance program.
- Gain insight into how you score against your peers based on your last two Form ADV filings.
- Ensure you aren’t seen as an outlier to the SEC.
- Analysis of 196 Form ADV fields for accuracy identifying specific areas that are “red flags.”
- Analysis of over 700 fields in the 17 Form ADV sections for consistency, identifying specific areas that are “red flags.”
- An overall quality score and scores on three main areas important to the SEC – accuracy, consistency and frequency.