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Master The New ADV With An Easy Checklist

As you may know, as of October 1, 2017, the SEC’s amendments to Form ADV became effective. These changes require more disclosures from investment advisers and will help the SEC gain more insights into their business. This is done by requiring advisers to report on the Form ADV:

new regulations

  • More information on separately managed accounts (including assets under management, types of investments and use of derivatives and borrowings);
  • Social media accounts controlled by the adviser (employee accounts are exempt);
  • Number of branches and location/contact information of the 25 largest offices;
  • Codification of “umbrella registration” to simplify process to register affiliates to an adviser on one Form ADV subject to meeting five conditions;
  • Information on any outsourced chief compliance officer; and
  • Some technical amendments to make the form easier to complete.

Don’t wait until the last minute to prepare for these changes. These amendments are extensive and at a minimum we highly recommend you take steps now to:

  • Update your relevant policies and procedures;
  • Make sure you train the relevant personnel responsible for helping with the Form ADV filing on these changes.

To help you master the changes, we created a handy checklist to outline the key amendments. And don’t forget, the Adherence team is available to guide you through these changes and to help with your next Form ADV update.

Access Tool: Use the New Form ADV Checklist to quickly master the changes to your Form ADV filing

Links Other Helpful Resources from the SEC:
https://www.sec.gov/rules/final/2016/ia-4509.pdf
https://www.sec.gov/divisions/investment/iard/iardfaq.shtml
https://www.sec.gov/rules/final/2016/ia-4509-form-adv-summary-of-changes.pdf

Adherence Compliance Group +1-917-885-2596
220 W. 93rd Street, #8C New York NY 10025