Topic
Form ADV
49 published works
Source Code
Electronic communications with clients – what to know before you hit “send”
If you’re a robo-adviser, chances are you want to create a fully “digital” experience for clients that doesn’t involve sending paper documents. For example, you may want to email clients…
Investment Management Regulatory Update
Brochure Supplements – How Much do your Clients Know about the Individuals Behind your Algorithm?
No matter what form of investment advisory firm you have, completing Form ADV is a necessity. As a reminder, Form ADV is the form used by investment advisers to register…
Source Code
Brochure Supplements – How Much do your Clients Know about the Individuals Behind your Algorithm?
No matter what form of investment advisory firm you have, completing Form ADV is a necessity. As a reminder, Form ADV is the form used by investment advisers to register…
Source Code
Registering your robo-advisory firm – where and how?
Before your robo-adviser can accept its first client, it must be registered. Like other investment advisers, robo-advisers have two possible initial registration pathways. They either register with the SEC or…
Broker- Dealer Law Corner
The Folly Of ADV Disclosures: What The Robare Decision Teaches About Trying To Do It Right
By Alan Wolper, UB Greensfelder
Most of the time, the cases I write about were some other lawyer’s. In some respects, it’s easier to offer comments when it isn’t my case. I can, hopefully, be…
Compliance Building
Failure to Launch Means Cancellation
The SEC cancelled the adviser registration of an internet investment adviser because it never launched its website. Kevin Ajenifuja registered his firms with the SEC by filing its Form ADV…
The Energy Law Blog
2019 Louisiana Investment Adviser Update
Fingerprints Effective January 1, 2019, Louisiana Senate Bill 416 requires all investment adviser representative (“IAR”) applicants to submit fingerprints for a criminal background check to the Louisiana Commissioner of Securities. …
The Energy Law Blog
Fifth Circuit Throws Out DOL Fiduciary Rule
The United States Fifth Circuit Court of Appeal vacated the entire DOL Fiduciary rule in a split decision on March 15, 2018, U.S. Chamber of Commerce v. DOL, No. 17-10238…
IM Insights
Form ADV Amendments: Ready to Go?
By Kelley Howes
As summer recedes and we head into the autumn, investment advisers are in the home stretch of preparations for Form ADV reporting and disclosure changes that become effective October 1,…
Inside Cybersecurity & Privacy Law
Form ADV: New Disclosure Requirements and Additional Disclosures to Consider
By Stephanie M. Monaco, Leslie S. Cruz, Peter M. McCamman, Adam D. Kanter
The compliance date is fast approaching for the US Securities and Exchange Commission’s recently adopted amendments to Form ADV. Initial or amended Form ADVs filed on or after October 1,…