Form ADV

A peer shares with RCW this Form ADV checklist designed to help you prepare your annual update

This proposal would greatly expand the AUM threshold for an investment adviser to qualify as a small entity for purposes of SEC rulemaking

The year may only be days old but already the SEC has defied predictions by proposing a new rule. The proposal would drastically revise AUM ...

Rule 30–5(g)(8) will enable the IM director to authorize the issuance of orders under the Advisers Act to grant, deny, and revoke confidential treatment of ...

So far so good except the firm erred in what it disclosed about the program

While the U.S. plays host to the most private funds, 11 other jurisdictions welcome them in big numbers, from the Cayman Islands to Mauritius

This guidance comes to RCW (www.regcompliancewatch.com) courtesy of Lisa Marsden of Colter Strategic Services in Coral Springs, Fla.

The growth in the numbers of SEC RIAs rose nearly 3% in the last year

'Sometimes firms rely too much on the CCO to do everything'

This Excel spreadsheet, courtesy of Lisa Marsden of Colter Strategic Services in Coral Springs, Fla., will help you with your annual Form ADV update obligations