SEC Releases Amendments to Form ADV and Other Investment Adviser Act Rules

In a press release dated August 25, 2016,1 the Securities and Exchange Commission (“SEC”) announced their issuance of a final rule, which amends Form ADV (Uniform Application for Investment Adviser Registration), along with five other rules under the Investment Advisers … Read More

SEC Proposed Business Continuity & Transition Plan Rule: More than Just Disaster Recovery Planning

On June 28, 2016, the Securities and Exchange Commission (“SEC”) issued a proposal requiring SEC registered investment advisers to implement a written business continuity and transition plan (“BCTP”).1   In the corresponding press release,2 the SEC stated that the purpose of the … Read More

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