Form ADV

The Securities and Exchange Commission (“Commission”) is proposing new and amended rules and forms under both the Investment Advisers Act of 1940 (“Advisers Act”) and ...

Call it a customer relationship summary. That’s the new form that the Commission has proposed designed to help retail investors differentiate between investment advisers and ...

One aftermath of the surge in OCIE exams is that the percentage of reviews referred to the SEC’s Enforcement Division has fallen to a low ...

These proceedings arise out of Clayborne’s improper registration with the Commission as an investment adviser, as well as its violation of a Commission rule concerning ...

These proceedings arise out of Respondent Financial Fiduciaries’ non-disclosure of financial conflicts of interest and violations of the “Custody Rule” of the Advisers Act. From ...

Among the plethora of changes you face in updating your new Form ADV, Part 1 you’ll find two items that zero in on your payment ...

If a material change occurs at your firm that triggers a prompt update of your Form ADV, be ready to encounter many more new questions ...

Fort Worth, Texas-based TPG Capital Advisors ($51B in AUM) had disclosed to its private equity investors that it could receive accelerated monitoring fees after ending ...

These violations were accompanied by compliance breakdowns—LKL did not conduct requisite annual reviews and failed to implement its policies requiring full disclosure of Love’s outside ...

In soliciting individual advisory clients to invest in mutual fund strategies managed by Atlas, Packerland recommended the purchase of a certain class of mutual fund ...