Tag Archives: Investment Adviser

Broker Dealer, Investment Adviser

REMINDER: Compliance with Reg S-P Amendments Due Soon for “Smaller Entities”

The June 3, 2026 deadline to comply with the SEC’s Reg S-P Amendments for “smaller entities” is fast approaching. Compliance with the new Reg S-P Amendments will be a priority in SEC examinations conducted this year. which governs how financial institutions including broker dealers and SEC investment advisers protect consumer financial data.

Compliance Advisers can assist firms in meeting the requirements by preparing customized written policies and procedures and offering helpful tools that outline steps that smaller entities can take to achieve compliance.

For questions or assistance preparing for the June 3, 2026, compliance deadline, please contact us.

Investment Adviser

Preparing for the New Form ADV Amendments

By Karen A Steighner, MBA 

Compliance Advisers, Inc. 

October 2017 – In August 2016, the SEC adopted amendments to Form ADV that became effective on October 1, 2017. This means that most investment advisers will likely need to address the requirements of these amendments for the first time when they file their annual updating amendment in 1Q 2018. However, registered investment advisory firms are encouraged to consider how these amendments impact their specific business well in advance of the filing deadline.

The Amendments are intended to improve the depth and quality of information that clients receive about their investment advisory firm by modifying Part 1A of Form ADV in three areas: 1) revisions to fill certain data gaps and to enhance current reporting requirements; 2) amendments to incorporate “umbrella registration” for private fund advisers; and, 3) clarifying, technical and other amendments to existing items and instructions.   Let’s be clear though—the new information required by these amendments will also benefit the SEC by filling data gaps and facilitating their risk monitoring initiatives. Here is a summary of the new amendments:

Separately Managed Accounts. While detailed information about pooled investment vehicles has historically been collected on Form ADV Part IA, specific information regarding separately managed Continue reading Preparing for the New Form ADV Amendments →