Speak To A Live Person: 888.302.4594 Request A Demo

ADV Updates Template

Monday, October 3, 2016

Recently we wrote a blog regarding the SEC Amendments to Form ADV. In the blog, we touched on the ADV changes regarding Separately Managed Accounts, Private Fund Adviser Entities, and Clarifying, Technical and Other Amendments to Form ADV.

Recently, the SEC released a “redlined” version of Form ADV. The “redlined” form is intended to be used as an educational tool that will help users identify the form amendments adopted by the SEC on August 25, 2016. The changes will go into effect October 2017.

A few of the updates you will notice on the form are the following:

  • Added amendments to Form ADV that relate to separately managed accounts. The amendments require advisers to provide certain aggregate information about separately managed accounts that they advise.
  • Added amendments to Form ADV that enable the form to register multiple private fund adviser entities (umbrella registration).
  • Added Clarifying, Technical, and Other Amendments to Form ADV

The “redlined” Form ADV can be found by accessing the following link – ADV Part 1A Mark-Up.

If you have questions regarding a specific update to the form, more detailed and additional information is available through SEC Release No. IA-4509; File No. S7-09-15.

About Red Oak Compliance Solutions

Red Oak Compliance Solutions is a leading provider of intelligent compliance software, offering a range of AI-powered solutions designed to help firms of all sizes successfully navigate the increasingly complex regulatory landscape. Our suite of 17(a)-4/WORM compliant features offer risk minimization, cost reduction, and process optimization capabilities with features that are designed to evolve with our client’s needs. Our flagship advertising review software enables firms to deliver compliant content to the market with confidence, faster. Our Disclosure Management and Intelligence solution simplifies the management of disclosures, while our Registration Management solution automates and streamlines the licensing and registration process, further enhancing your internal processes. 

  • Categories

  • Get Started