Melissa O'Neill

Melissa O'Neill

Dechert LLP

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SEC Form ADV SMA Amendments and Investment Adviser Recordkeeping Rules: Compliance Deadline Quickly Approaching

The October 1, 2017 compliance date for the amendments to Form ADV and to rule 204-2 (Recordkeeping Rule), as well as technical amendments to other rules under the Investment Advisers Act of 1940 (Advisers Act) (collectively,...more

6/29/2017  /  Derivatives , Disclosure Requirements , Filing Deadlines , Form ADV , Investment Adviser , Recordkeeping Requirements , Securities and Exchange Commission (SEC) , Separately Managed Accounts (SMA) , UCITS
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