JLG Legal Risk Management Tip – How The Proposed Amendments To Form ADV And Advisers Act Will Impact Investment Advisers

Jacko Law Group, PC (“JLG”) published its monthly Legal Risk Management Tip (“Legal Tip”), written by Managing Partner & CEO, Michelle Jacko.  Jacko’s Legal Tip discusses the May 20, 2015 Securities and Exchange Commission’s Release No. IA-4091 which proposes certain amendments to Form ADV in order to obtain additional data related to an adviser’s business practices in three broad areas:

  • Obtaining information related to separately managed accounts (“SMAs”);
  • Streamlining reporting obligations for related advisers to multiple private funds; and
  • Amendments clarifying the reporting obligations intended for Form ADV Part 1.

The Legal Tip also discusses the proposed amendments to the Books and Records Rules.  Please click here to read the Legal Tip in its entirety.

To browse our entire library of Legal Risk Management Tips, including insightful articles on a wide range of industry topics, please click here.

For more information on this and other related subjects, please contact us at info@jackolg.com or (619) 298-2880

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