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Form ADV

While the Dow increased 5% in calendar year 2020, the AUMs of the top advisers grew an average of 19% over what they reported last ...
The new FAQ states that as “long as the employees are temporarily teleworking as part of the firm’s business continuity plan due to circumstances related ...
No need to report home offices as "long as the employees are temporarily teleworking as part of the firm’s business continuity plan due to circumstances ...
Ask your reps to attest that they provided you with accurate information
It can get confusing to assign clients to certain categories when there are so many different terms, like “high-net worth individual,” “qualified purchaser,” “accredited investor” ...
Compliance P&Ps tied to the ad rule “should include objective and testable means reasonably designed to prevent violations of the final rule in the advertisements ...
Here is a list of actions to take should your firm have growth to the threshold for SEC RIA registration
The Commission accomplishes something that critics have long called for, modernizing its 1961 ad rule (and to a lesser extent, its 1979 cash solicitation rule)
This is the newly revised Form CPO-PQR approved by the CFTC
The new procedures also required the establishment of a Compliance Committee, composed of LCA’s CEO, CCO, and CFO...The Compliance Committee failed to meet on a ...
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