Compliance Solutions for Investment Advisers

Monthly Archives: November 2010

Compliance Alert! ADV Part 2A

Dear Compliance Professional, While the SEC has provided detailed instructions regarding the new ADV Part 2, there are many open questions – as there typically are with new requirements – as to the practical implications of these instructions.  Many of these questions will only be answered, and ambiguities clarified, in the crucible of an SEC

Compliance Alert! SEC Transition Rules

Dear Compliance Professional, This past Friday (November 19th), the SEC proposed new rules to implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”). This brief Compliance Alert addresses one aspect of those proposed rule changes – the increase in the statutory threshold for registration by investment advisers with the SEC.