CCO

Regulatory Filings – A Guide for U.S. Investment Advisors
NCA Compliance Resources

Regulatory Filings – A Guide for U.S. Investment Advisors

Most chief compliance officers of registered investment advisors are intimately familiar with Form ADV. But what about Form 3 or Form 4 under Section 16? How about HSR? Your advisor may be subject to a number of shareholder and regulatory filings that, if not made timely and accurately, can have serious ramifications. This article provides an overview of some of the more common regulatory filings that advisors may be required to make with the SEC.

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November 9, 2017
New Form ADV Disclosure Requirements for Advisors
NCA Compliance Resources

New Form ADV Disclosure Requirements for Advisors

The SEC recently adopted rules, originally proposed in May 2015, that expand the disclosure requirements in Form ADV, Part 1A. These amendments will be effective 60 days after the publication in the Federal Register and investment advisors will need to start complying starting on October 1, 2017. This means that if your firm's fiscal year ends on December 31, 2017, you will need to comply with the Form ADV changes no later than your annual amendment filing in March 2018. A summary of the more substantive enhancements to Part 1A is provided below.

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September 6, 2016