Compliance Alert: New SEC Rules and Form ADV Update
New SEC requirements significantly expand public disclosures by registered investment advisers for their SMA businesses. The requirements take effect Oct 1, 2017. The SEC also confirmed provisions for "umbrella registration" of related advisers and generally overhauled many questions on Form ADV. There is time to act, but many to-do's follow from the new rules. Our webinar will cover practical tips for the coming compliance challenges. This webinar was co-hosted with Nathan Greene and Patrick Sweeney of Shearman & Sterling LLP and took place on Oct 13th 2016.
- SMA disclosure (5:58)
- Umbrella registration (10:28)
- Enhanced identification disclosure (6:59)
- Performance record retention (2:23)
- Preparing for the effective date (3:54)
- Q&A: Your Questions Answered (6:14)
You can access the slides from this webinar here
You can download a whitepaper on this topic here, 'SEC Public Disclosures - A Guide for Investment Advisers'.
Click here for some more SEC related content
This webinar was co-hosted with Shearman & Sterling LLP. Visit the official site here: www.shearman.com