Resources/ Updates

Jun18

New FAQs on Form ADV for Investment Advisers

September of 2016, the Securities and Exchange Commission (“SEC”) adopted amendments to rules impacting Form ADV Part 1A.  This form is used by investment advisers to register and remain compliant with the rules of the SEC and their state securities authorities.  The amended form becomes effective on October 1, 2017

On June 12, 2017, “Staff” of the SEC’s Division of Investment Management updated the Frequently Asked Questions page on Form ADV and the Investment Adviser Public Disclosure System (IARD). The new info there applies to Part 1A and Schedule R of Form ADV, and can specifically be found under

Note: The Staff prepped new responses to questions related to Form ADV representing their views, which are not rules, regulations or statements of the SEC.

Related Resources

Frequently Asked Questions on Form ADV and IARD

Staff Summary: See Form ADV Edited with Changes come Oct, 1 2017

Paper versions of current Form ADV Part 1A, Part 1B, and Part 2, General Instructions to Form ADV

SEC Adopts Rules to Enhance Information Reported by Investment Advisers ~ Aug. 24, 2016

Investment Adviser Public Disclosure System (IARD).

SDDco Post

New Form ADV Approved ~ Changes to Investment Adviser Reporting ~ Sept. 3, 2016

About SDDco Group

Formed in 1952, the SDDco Group (www.sddco.com) delivers outsourced professional support to the financial services and technology sectors. Our menu of professional services includes accounting, regulatory and tax compliance, AML testing, brokerage hosting and supervision, as well as assuming designated FinOp, CCO, and CFO roles.  To connect with SDDCO:

  • Call Us:  212-751-4422
  • Email Us:  info@sddco.com
  • Ask Us:  contact form

 

 

 

FOCUSED SUPPORT

SDDco specializes
in two industries.

Our know-how and our network supports the financial services & tech industries.

We hold the right training and licensures to keep you in step and mitigate risk.

Our Credentials

SUCCESSFUL CLIENTS

SDDco supports
industry leaders.

We oversee back office functions so you can focus on your own clients.

Major banks, private funds, RIAs, BDs, and tech startups choose us.

Our Clients

TOP TALENT

SDDco is as good
as its great people.

Our CPAs, FinOps and
consultants are licensed,
experienced professionals.

Partner with us for start-ups and for ongoing accounting, compliance and tax work.

Our People

ONSITE OUTSOURCING

SDDco performs
services onsite.

Outsourced support with
SDDco isn’t out of sight.

We work in your space and for your team on a regular basis. Engage the expertise without the fulltime hire.

Our Praises

HIGH STANDARDS

SDDco observes
AICPA principles.

Our inaugural firm began
when two CPAs opened
a NYC office back in 1952.

We faithfully maintain the CPA standards: integrity, competency, confidentiality….

Our Group