Confused about whether you need to amend your existing advisory contracts as a result of Dodd-Frank, or whether your contracts are compliant with regulatory requirements? For some much-needed clarity, hear our consultants break down the fundamentals of Advisers Act Section 205 and explain the concepts of assignment, control, negative and advance consent, SEC guidance with respect to advisory contracts, and the new Section 205(f) provision.
Listen to the podcast below:
You can also download this podcast by right clicking here and selecting save as.
- The Importance of Effective ADV Disclosure: Staying Ahead of the Regulators
- SEC and FINRA 2019 Examination Priorities
- Highlights of 2018: Predictions for 2019
Recent ComplianceCast™ Minutes