Electronic Delivery for Investment Advisers
For advisers to utilize electronic delivery for regulatory documents such [...]
26
05, 2021
24
05, 2021
How to Qualify for Puerto Rico’s Act 20
Act 20, known as the “Export Services Act”, provides tax [...]
21
05, 2021
Form ADV-E
Investment advisers that have custody of client funds or securities [...]
17
05, 2021
Rule 13(f)
Institutional investment managers (“Managers”) must use Form 13F for reports [...]
14
05, 2021
Form ADV Part 3 Items
Under rule 17a-14 under the Securities Exchange Act of 1934 [...]
12
05, 2021
Share Class Selection
Advisers have a fiduciary obligation to recommend a share class [...]
10
05, 2021
Requirements for State Registered Advisers
Also, State registered advisers should review and verify compliance with [...]
5
05, 2021
Annual Reviews for State Registered RIAs
Investment advisers should review, no less frequently than annually, the [...]
30
04, 2021
Exclusions from Registration as an Agent
Agents are individuals in a sales capacity who represent broker-dealers [...]
28
04, 2021
Outside Business Activities for RIAs
Outside Business Activities (“OBAs”) of individuals can create potential conflicts [...]