Gifts and Gratuities
Advisory representatives are prohibited from accepting anything of value that [...]
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06, 2021
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06, 2021
Schedule 13(d) and 13(g)
Sections 13(d) and 13(g) of the Securities Exchange Act of [...]
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06, 2021
Custody Requirements
Previously on our blog we discussed situations where advisers are [...]
7
06, 2021
Assessing Custody for Registered Investment Advisers
One of the most critical rules under the Investment Advisers [...]
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06, 2021
Electronic Storage for Investment Advisers
SEC Rule 204-2 require that firms make and keep required books [...]
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05, 2021
Delivery of Form ADV
Determining if delivery of Form ADV is required for each [...]
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05, 2021
Electronic Delivery for Investment Advisers
For advisers to utilize electronic delivery for regulatory documents such [...]
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05, 2021
Form ADV-E
Investment advisers that have custody of client funds or securities [...]
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05, 2021
Rule 13(f)
Institutional investment managers (“Managers”) must use Form 13F for reports [...]
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05, 2021
Form ADV Part 3 Items
Under rule 17a-14 under the Securities Exchange Act of 1934 [...]