On April 16, 2019, the staff from the Office of Compliance Inspections and Examinations (the “OCIE”) of the US Securities and Exchange Commission (“SEC”) published a Risk Alert describing privacy and related customer information safeguarding issues it has identified in recent examinations of registered investment advisers and broker-dealers (“Registered Entities”).1 These issues continue to
Form ADV: New Disclosure Requirements and Additional Disclosures to Consider
The compliance date is fast approaching for the US Securities and Exchange Commission’s recently adopted amendments to Form ADV. Initial or amended Form ADVs filed on or after October 1, 2017 (with limited exception, as discussed in this Legal Update) must comply with the amendments. Among other things, the amendments require advisers to provide additional