Regulatory Alerts2016-09-01 | 2016-20832Added · Updated
Form ADV and Investment Advisers Act Rules
The Securities and Exchange Commission adopted amendments to Form ADV and the Investment Advisers Act to enhance regulatory oversight of investment advisers. The rules require advisers to report aggregate data on separately managed accounts and permit private fund advisers operating a single business to register using a single Form ADV. Additionally, the Commission amended the books and records rule to mandate retention of performance documentation and removed obsolete transition provisions from several Advisers Act rules.
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