Regulatory Compliance Association Reviews

NEW FORM ADV Requirements & Performance Reporting

Practice Edge 02

Date: October 18, 2016
General Session: 12 Noon to 1:30 PM HKT
Location: Webcast (Free)

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On August 25, 2016, the SEC amended Form ADV and adopted new requirements under the recordkeeping rule for performance communications.

In order to increase disclosure obligations, the New Form ADV will require:

  • New reporting requirements for separately managed accounts (SMAs),
  • Disclosures about investment advisers and their businesses,
  • Using a single Form ADV for multiple private fund advisers operating as a single advisory business in a “relying adviser” structure, and
  • Various “clarifying” and “technical” changes.

In addition to revising Form ADV’s disclosure requirements, the SEC’s amendments to the recordkeeping rule mandate that investment advisers maintain records of performance calculations and performance-related communications.

Session Chairman:

Walter Zebrowski, JD, CPA, Principal, Hedgemony Partners
Chairman, Regulatory Compliance Association

Senior Fellow from Practice:

Jane Stafford, JD, General Counsel, Regulatory Compliance Association

Guest Lecturers:

Troy Paredes, JD, Commissioner, SEC (Former)
Martin Schwartz, CPA, JD, CCO, Millennium Partners
Mark Polemeni, JD, CCO & Associate GC, Citadel
Steven Yadegari, JD, GC, Cramer Rosenthal McGlynn
Michael Neus, JD, GC & CCO, Perry Capital
Brian Traficante, JD, SVP & Counsel, York Capital

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