Navigating the Annual Requirements for Investment Advisers

Chicago's Legal Latte

English - January 13, 2021 19:00 - 16 minutes - 13.9 MB - ★★★★★ - 5 ratings
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SEC-registered investment advisers must navigate several annual and ongoing regulatory and compliance requirements. Two of the most important investment adviser annual requirements are submitting an annual updating amendment to the Form ADV and conducting an annual review. Failing to comply with these annual requirements can subject an investment adviser to regulatory examinations, enforcements, fines, censures, reputational harm, and other penalties. In this podcast, attorney Samantha Bonamassa discusses the compliance requirements and answers FAQs.