Month: March 2017

Stock Market Charts
Enforcement, Investments, SEC

ADV Time for RIAs

RIA firms with a fiscal calendar ending on December 31st have until March 31st to file their updated ADVs with the SEC. In addition, following the SECs new requirements (adopted last summer), there are 8 changes required on the Form ADV for firms filing after October 1.  The purpose of the new data is to […]

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By : Mar 15, 2017 No Comment
Enforcement, SEC

SEC Exams – More Efficiency?

The likelihood of independent adviser exams is declining as the SEC experiences post election changes. Former SEC Chairwoman Mary Jo White had drafted a regulation to outsource some exams to third parties. However, following Ms. White’s departure, increased Republican resistance and a reorganization of SEC assets, it looks like that plan will fade. In 2015, the agency’s Office of Compliance […]

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By : Mar 7, 2017 No Comment