Topic
Form ADV
49 published works
Corporate & Financial Weekly Digest
SEC Staff Issues Information Update for Advisers Filing Certain Form ADV Amendments
By Ayah K. Sultan, David Y. Dickstein
The staff of the Securities and Exchange Commission’s Division of Investment Management (Staff) has issued an Information Update regarding the SEC’s recently adopted amendments to Form ADV, which will go…
IM Insights
Division of Investment Management Eases Compliance Deadline for New ADV Filing Requirement
By Kelley Howes
Currently pending amendments to Form ADV have a compliance date of October 1, 2017 and, as of that date, an adviser filing an initial Form ADV or an amendment to…
Corporate & Financial Weekly Digest
SEC Updates to Form ADV FAQs
By David Y. Dickstein, Ayah K. Sultan
On June 12, the staff of the Securities and Exchange Commission’s Division of Investment Management updated its Frequently Asked Questions on Form ADV and IARD. Much of the additional guidance…
Regulatory & Compliance Update
SRZ Insights: Changes to Form ADV
By Bryan Daly
In this SRZ Insights video, partner Brian Daly discusses the potential impact of Form ADV amendments on U.K. investment managers. He addresses key aspects of the major changes — including…
IM Insights
SEC Staff Discusses Current Initiatives Related to Investment Advisers at SEC Speaks in 2017 Conference
By Lailey Rezai
On February 24, 2017, the U.S. Securities and Exchange Commission’s Division of Investment Management (the “Staff”) participated in a panel at the Practising Law Institute’s SEC Speaks in 2017 conference.…
Derivatives & Repo Report
Quick Guide to New Form ADV Derivative and Borrowings Disclosure
By Shawn R. Durrani, Perkins Coie
The SEC has finalized a rule requiring registered advisers to report certain information related to the use of derivatives and borrowings in separately managed accounts (“SMAs”). The release can be…
Corporate and Securities Law
Common Deficiencies Noted in Exams of Minnesota Registered Investment Advisers
Regulatory & Compliance Update
New Form ADV: The Impact on Private Fund Advisers
By Marc E. Elovitz, Bryan Daly, Brad L. Caswell
On Aug. 25, 2016, the U.S. Securities and Exchange Commission adopted a final rule that amends Form ADV — the filing that investment advisers registered with the SEC use to…
IM Insights
The SEC Adopts Amendments to Form ADV and Recordkeeping Rule: Advisers Now Required to Disclose Information About Separately Managed Accounts
By Kelley Howes, Jay G. Baris, Eric Requenez
The Securities and Exchange Commission (SEC) recently amended Form ADV to require investment advisers to disclose more information about their separately managed account business, aggregate data related to the use…
Financial Services Observer
New ADV Rule
By Richard M. Cutshall, Aimee Wildstone
Today, the SEC announced the adoption of amendments to several rules under the Investment Advisers Act of 1940 and to Form ADV, the investment adviser registration and reporting form. Although there…