On March 18, 2011, the SEC issued “Staff Responses to Questions About Part 2 of Form ADV.” Putting aside for the moment that the SEC waited until 13 days before the deadline to post this helpful material, there are a … Continued
There is an interesting article in today’s Investment News about how some states have extended the filing deadline for the new ADV 2 (and I say this not just because I am quoted in the article). These states include: Connecticut … Continued
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 … Continued
Dear Compliance Professional, Big doings are certainly afoot in the regulatory world. Did I say big? These “doings” are of gargantuan proportions – earth shattering, paradigm shifting, game changing doings that will affect every financial services firm including all SEC … Continued