The SEC has amended Part 2 of Form ADV to require registered investment advisers (RIA) to provide clients with clearly written, current and meaningful disclosures, in plain English, about the adviser’s business practices, conflicts of interest and certain personnel. This becomes effective October 12, 2010.
To read the specific details of the SEC’s 174 pages of requirements,click here: SEC ADV Part 2 Requirements
Thursday, September 23, 2010
Subscribe to:
Post Comments (Atom)
No comments:
Post a Comment