Important Regulatory Filings that Affect Investment Advisers


In the financial services industry, there are many regulatory filings that must be made, and keeping track can be a daunting task for firms. A number of these filings are required by investment advisers, so it is crucial for a Chief Compliance Officer (“CCO”) to know which filings are applicable to their firm and when they are required to be made. This Risk Management Update outlines a few of the more common filings affecting most advisory firms and provides a summary of each, along with some helpful compliance tips.

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