Regulation A Plus, FBAR And FATCA Deadlines, And Other Regulatory Filing Dates

The SEC isn’t the only agency investment advisers need to have on their radars. The IRS has extended the reporting deadline for certain FBAR filings, and reporting under the Foreign Account Tax Compliance Act (FATCA) will begin soon, now that the FATCA Portal is open for registration. Firms seeking to be included on the IRS’ … Continued

Calculating Regulatory AUM for Form ADV Annual Updating Amendments, & 13H Filings

Are you preparing your firm’s Form ADV Annual Updating Amendment? Don’t forget it’s due by the end of March! Tune in to this podcast to hear methodology for calculating your firm’s regulatory AUM as required for your Annual Updating Amendment. Covering securities portfolios, supervisory or management services, and family or proprietary accounts, our consultants walk … Continued

Latest Content

Evolution of Fiduciary Rules Begins to Take Shape in SEC

On April 18, 2018, the SEC voted to propose several new rules and reforms related to fiduciary standards. The package intends to raise and clarify standards of conduct for broker-dealers and investment advisers, and to provide clarity regarding fees, conflicts and other material matters. It also aims to ensure that the standards can be understood … Continued

Insurance Considerations for Investment Advisers

How much coverage is enough? What types of insurance policies do you need? Whether you are starting an investment advisory practice, launching a new line of business, or reevaluating your existing risks, there are critical questions to ask to make sure you understand the various ways to protect your firm. Join us for a practical … Continued

Fifth Circuit Weighs In on DOL Fiduciary Rule

A panel of the U.S. Court of Appeals for the Fifth Circuit has vacated the Department of Labor’s Fiduciary Rule. In a 2-1 split, the Fifth Circuit’s decision overrules a Dallas District Court’s decision, which had previously upheld the rule. Unfortunately, the decision does little to settle the fate of the beleaguered rule. Although it … Continued

SEC Proposes Amending Investment Company Liquidity Disclosures in Forms N-PORT and N-1A

On March 14, 2018, the Securities and Exchange Commission (“SEC”) proposed amendments to the mutual fund liquidity-related disclosure requirements. Specifically, the proposal: Adds a new requirement to “briefly discuss the operation and effectiveness of the Fund’s liquidity risk management program during the most recently completed fiscal year” in the Fund’s Management Discussion of Fund Performance … Continued

Paradigm Shift in SEC Exams, Benefits of a Mock Exam

For investment advisers currently going through an SEC exam, the process likely bears little resemblance to exams of old. Call it the new normal, a paradigm shift, or simply the effects of the SEC having to do more with less, but anecdotal evidence among those now experiencing the exam process suggests some interesting new trends. … Continued

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