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Form ADV › Investment Funds › Financial Services Industry

SEC Compliance Consultants, Inc. (SEC³)

The Most Wonderful Time of the Year: Form ADV Season

SEC Compliance Consultants, Inc. (SEC³) on

For most investment advisers, March signals the beginning of Form ADV season, where compliance officers gather all kinds of firm data to update a document fraught with potential regulatory liability. For the uninitiated, Form...more

Tannenbaum Helpern Syracuse & Hirschtritt LLP

SEC’s Recent Enforcement Sweeps Targeting Off-Channel Communications of Fund Advisers

Tannenbaum Helpern Syracuse & Hirschtritt LLP on

In this time of continuing digital transformation, the use of smartphones and messaging apps, such as WhatsApp, Signal, iMessage, Facebook Messenger, WeChat, and Telegram, has become increasingly popular in business practice....more

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