Home Form ADV

Form ADV

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 ...
Only 17% answered that they do offer additional products or services
RCW exclusive analysis of Form ADV data
5% of advisers use an outsourced CCO compared with 4% in 2019 and 3% in 2018
Most of the largest advisers made no mention of the coronavirus or the pandemic
This comes courtesy of The Plain Language Group in Charlotte, N.C.
The Commission has been monitoring the effects of COVID-19 and is now extending the exemptions with certain modifications in light of its current understanding of ...
The Form ADV FAQ addresses temporary teleworking
The new order removes two conditions placed on advisers that wished to use the delay
rcw
rcw

Copyright PEI Media

Not for publication, email or dissemination