Sr. Compliance Consultant Janice Powell was featured in a Barron’s Advisor article titled “Form ADV Mistakes Can Put Advisors in Hot Water With Regulators. How to Avoid Them.” on January 6, 2022. Head to the article to learn about the importance of … Read More
On April 27, 2020, the Securities and Exchange Commission’s Division of Investment Management (the “SEC”) issued updated guidance concerning the following topics in response to COVID-19: Disclosure requirements for investment advisers applying for loans through the U.S Small Business Administration’s … Read More
The Securities and Exchange Commission (SEC) issued its final decision on its three-part reform package last month, featuring the Regulation Best Interest (REG BI). The regulation will require broker-dealers to increase their disclosures and act in their client’s best interest … Read More
On March 7, 2019 the Securities and Exchange Commission (SEC) filed a cease-and-desist order against a New York-based Investment Advisory Firm (the “Firm”) and its sole proprietor for numerous violations related to:
Hamlin Capital Management, LLC, a New-York-based investment adviser, has been charged by the Securities and Exchange Commission (SEC) with violations concerning cross trading activity that favored particular client accounts over others.
With the recent updates to the requirements for Form ADV, many firms are wrapping up the preparation for their Form ADV Annual Amendment filing.
On the Form ADV, there are two sections where a firm must declare whether or not they have custody, and if so, how much custody the firm has. Specifically, this is a part of Item 9 of Form ADV Part … Read More
Registered investment advisers (“RIAs”) that have a fiscal year end of December 31st are currently faced with the impending deadline of March 31st for filing their annual amendment to Form ADV. While in the past RIAs may have begun reviewing … Read More
Since the new Form ADV compliance requirements came into effect on October 1, 2017, many investment advisers are still unsure as to what information they’re required to update and which part of the Form ADV they need to focus on.
