Form ADV: What You Need to Know Now to Prepare for October

October 2017 new Form ADV amendments continue the big data trend. Form ADV continues to expand ever more rapidly as data mining and handling techniques by regulators allow for the utilization of Form ADV for risk measurement. Ease the burden of answering over 100 separate questions (plus scores more for each private fund) through this step-by-step review of the new Form ADV Part 1A. Learn the overlap between private fund managers and new requirements for all IAs.

  • New portfolio information reporting by asset class
  • Know your clients to meet more detailed client information reporting
  • Social media filing requirements
  • Changes for private fund registration
  • Recent SEC FAQs covering new changes
  • Bonus information and suggested procedures for new record keeping rule

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OCIE Examined 15% of RIAs in 2017

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SEC Updates: ICO Gatekeeper Standards, SEC/CFTC Swap Rules

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