As the regulatory and legal landscape applicable to the financial services industry continues to go through unprecedented changes, Core Compliance will stay on top of the latest developments and, through this page, provide updates and practical considerations for complying with … Read More

In July, the U.S. Securities & Exchange Commission (“SEC”) announced much-anticipated revisions to Form ADV Part 2 (the “Disclosure Brochure”), requiring investment advisers to provide clients and prospective clients with narrative, “Plain English” disclosures of the adviser’s business practices, investment … Read More