Annual Compliance Reviews
All investment advisers registered with the Securities and Exchange Commission (“SEC”) are required to review their compliance policies and procedures at least annually. Many advisers traditionally conduct this review in March of each year. Registered advisers should commence their annual reviews promptly and document the review process.
Form ADV – Annual Amendment to Parts 1 and 2A Due by March 31st
Part 1 of the Form ADV and the new Part 2A of the Form ADV must be updated by March 31, 2010 through the Investment Adviser Registration Depository website. In order to get credit for the filing, please select “annual amendment” when updating the form. Failure to update Form ADV could lead to registration being revoked. Investment advisers should deliver their Part 2A Form ADV to existing clients by May 31, 2011.
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