Topic
Form ADV
49 published works
Investment Management Regulatory Update
SEC Extends Form ADV Filing and Delivery Deadlines due to Coronavirus
As Josh discussed earlier this week, the annual update to Form ADV is generally due at the end of March for most robo-advisers. However, we are interrupting our current discussion…
The Energy Law Blog
SEC Gives Advisers COVID-19 Regulatory Relief
The SEC announced on March 13, 2020 that investment advisers affected by Coronavirus are exempted from filing an amendment to Form ADV Part 1A and the Brochure (ADV Part 2A)…
Coronavirus (COVID-19): Guidance for Businesses
SEC Provides Relief For Form ADV and Form PF Filing and Delivery Obligations in Response to COVID-19 (Updated 4/2)
By Perkins Coie
Authored by Michael S. Didiuk & Dean A. Galaro On March 25, 2020, the Securities and Exchange Commission (“SEC”) issued an order granting temporary relief for filing and delivery obligations of Form…
Investment Management Regulatory Update
The Secret Ingredient – Disclosure of Your Algorithm
With the deadline for the annual update to Form ADV closing in at the end of March, let’s examine one aspect of Form ADV disclosure which impacts a majority, if…
Source Code
The Secret Ingredient – Disclosure of Your Algorithm
With the deadline for the annual update to Form ADV closing in at the end of March, let’s examine one aspect of Form ADV disclosure which impacts a majority, if…
Source Code
New Form CRS – What You Need to Know Now
OK, so remember last June when we discussed registering your firm? If you do, you may recall that the principal adviser registration document, Form ADV, is divided into two parts:…
The Energy Law Blog
2020 Louisiana Investment Adviser Update
ADV Amendments The annual amendment for ADV Parts 1A (and 1B for state-registered advisers) and the Brochure (ADV Part 2A) is due March 30, 2020 (for firms with year-end fiscal…
Subject to Inquiry
SEC Continues Compensation Disclosure Focus With FAQs and Enforcement
By Cheryl Haas, Aline McCullough
On Oct. 18, 2019, the Securities and Exchange Commission (SEC) Division of Investment Management staff published Frequently Asked Questions Regarding Disclosure of Certain Financial Conflicts Related to Investment Adviser Compensation…
Compliance Building
CCO Barred for Lying on Form ADV
Gregory M. Prusa was the Chief Compliance Officer of the Salus, LP, a hedge fund. Among other problems, Mr. Prusa made false or misleading statements in the Form ADV filing…
The Energy Law Blog
Louisiana Investment Adviser Update • Top 10 Advisers in Louisiana • SEC Issues New Proxy Guidance for Advisers
Top 10 Louisiana Advisers For this edition, I thought that we would look at the top ten SEC registered investment advisers within the State of Louisiana. The SEC publishes a…