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Investment Adviser › Form ADV › Corporate Governance

Troutman Pepper Locke

FUNDamentals: Form N-PX — Institutional Investment Managers Must File, Even if No ‎Proxies Were Voted

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With Form ADV annual updating amendments due for many investment advisers by the end of next month, advisers should consider whether to update their proxy voting policies and related disclosure in Part 2A, Item 17 in light of...more

Sullivan & Worcester

SEC Proposes New Rule Requiring Investment Adviser Oversight of Certain Third Party Service Providers

Sullivan & Worcester on

On October 26, 2022, the Securities and Exchange Commission ("SEC") proposed a new rule under the Investment Advisers Act of 1940 ("Advisers Act") to prohibit registered investment advisers from outsourcing certain services...more

Saul Ewing LLP

Securities and Exchange Commission Updates COVID-19 Guidance

Saul Ewing LLP on

On March 25, 2020, the Securities and Exchange Commission (SEC) announced the following updates to its March 4, 2020 order addressing guidance to public companies, investment funds and investment advisers concerning COVID-19....more

Morgan Lewis

SEC Provides Relief for Funds and Advisers Impacted by Coronavirus (COVID-19)

Morgan Lewis on

The US Securities and Exchange Commission on March 13 announced temporary regulatory relief for registered investment advisers and exempt reporting advisers as well as for registered funds, registered unit investment trusts,...more

Pullman & Comley, LLC

Changes to Form ADV Just in Time for Annual Updating Amendments

Pullman & Comley, LLC on

It is that time of year again, when state and federal registered investment advisers (RIAs) renew their registrations and file annual Form ADV updating amendments. The updating amendments are due by March 31, 2018. Part 1A...more

Winstead PC

Investment Adviser Compliance with SEC’s Amended Form ADV

Winstead PC on

Beginning October 1, 2017, investment advisers filing Form ADV with the Securities and Exchange Commission (the “SEC”) must file using the amended form adopted by the SEC on August 25, 2016 (the “Amended Form ADV”). According...more

Fox Rothschild LLP

Is this the first shot in the SEC’s war against social media?

Fox Rothschild LLP on

The SEC has repeatedly included issues around social media in its annual exam priorities for investment advisers. With the SEC’s recent release of a final rule on the subject, the SEC has taken that “exam priority” to the...more

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