We’re excited to announce that Core Compliance, in conjunction with IA Watch, is co-sponsoring the upcoming conference, IA Compliance: The Full 360° View, West Critical and Timely Insight for Investment Adviser Compliance Professionals.
On July 1, 2017, the State of Wyoming’s new regulations became effective, which require certain investment advisers (“IAs) and investment adviser representatives (“IARs”) to register with the State in order to provide investment advice in Wyoming. [1]
In their continued quest to obtain “big data” from registrants, the U.S. Securities and Exchange Commission (“SEC”) issued a final rule in August 2016, which significantly expands the information required in Form ADV.[1] The compliance date for the rule is … Read More
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
At the end of August, the Securities and Exchange Commission (“SEC”) issued a release amending a number of rules under the Investment Advisers Act of 1940 (“Advisers Act”), as well as Form ADV, which is the registration and reporting form … Read More
It’s that time of year again where registered investment advisers with a fiscal year end of December 31st must file their annual amendments to Form ADV. Investment Advisers have 90 days after their fiscal year end to make the filing, … Read More
Recently, the Securities and Exchange Commission (“SEC”) issued a “cease-and-desist” order against Dion Money Management, LLC (“Dion”) for “failure to disclose to clients the terms of certain compensation arrangements whereby the adviser received payments from third parties that were calculated … Read More
