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Tag: Form ADV

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SEC Proposes Cybersecurity, Private Fund Adviser Rules

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February 09, 2022

Keywords: Form ADV, Cybersecurity, Hester Peirce, Private Funds, Trading

SEC Re-Proposes Certain 13F Amendments, Other Electronic Filing Requirements

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November 24, 2021

Keywords: Form ADV, SEC Investment Management

Categories & Topics: 13F, Form ADV & CRS, Reporting

Georgia-Based Adviser Charged in Connection with Disclosure and Compliance Violations Related to Adviser’s Financial Situation

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October 05, 2020

Keywords: Form ADV, SEC Enforcement

Categories & Topics: Compliance, Enforcement, Form ADV & CRS, Reporting

SEC Provides Relief Related to Mailing Adviser and Fund Documents to Clients in International Jurisdictions

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June 25, 2020

Keywords: Form ADV, Privacy, Coronavirus, COVID-19, Cybersecurity, Form CRS, Investment Company

Categories & Topics: Compliance, Cybersecurity/Privacy

SEC’s IAC Discusses Index Funds, ESG, Disclosures and Credit Rating Agencies

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June 03, 2020

Keywords: Form ADV, Allison Herren Lee, Disclosure, ESG, Form CRS, Hester Peirce, IAC, Jay Clayton

Categories & Topics: Account Operations, Portfolio Management

Form CRS Implementation Considerations

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February 22, 2020

Keywords: Form ADV, Columns, Compliance Corner, Form CRS

Categories & Topics: Form ADV & CRS, Reporting

SEC Proposes Significant Overhaul of Advertising and Solicitation Rules

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November 25, 2019

Keywords: Form ADV, Advertising Rule, Recordkeeping, Solicitation Rule, Webinars

Categories & Topics: Advertising, Compliance, Solicitation

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