Investment Adviser Important Dates and Reminders

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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 30th

Part 1 and Part 2A of the Form ADV must be updated by March 30, 2012 through the Investment Adviser Registration Depository website (www.iard.com). 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.

Please see full article below for more information.

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Published In: Administrative Agency Updates, Business Organization Updates, Finance & Banking Updates, Securities Updates

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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