Add Yahoo as a preferred source to see more of our stories on Google. Would you want to know if your financial advisor was a criminal? What about if they'd ripped off another client? Or if they've ...

On October 26, 2023, the Division of Investment Management of the US Securities and Exchange Commission (the “Division” and the “SEC” or “Commission,” respectively) updated the “Frequently Asked ...

Structured change tracking can reduce version confusion and improve SEC Form ADV defensibility. Compliance shouldn’t ...

Several important changes reflected in the Amended Form ADV are intended to collect more detailed information regarding SMAs. While the SEC specifically declined in the adopting release to adopt a ...

The “Form ADV Part 2 Brochure Template” will help investment advisers with the new required format based on the recent Securities and Exchange (SEC) rule update. Created by The Consortium, a company ...

Additional information RIAs must now disclose on the Form ADV may help the SEC develop an automated system to single out firms for examination. Registered investment advisers (RIAs) will need to share ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

Form ADV is meant to provide investors and regulators a reasonably accurate, up-to-date description of a firm. It doesn’t always work out that way. For many financial advisors, the document remains a ...

As part of your due diligence, conduct a thorough background check before choosing a financial advisor to manage your investments, retirement or estate planning. After all, you don't want to hand over ...