Practical Guidance for Fund Managers on Filing Their Annual Amendments to Forms ADV

A recent Washington, D.C., Compliance Round Table program addressed some common questions that arise when fund managers are completing their annual amendments to their Forms ADV, including some of the challenges posed by form amendments that took effect on October 1, 2017. The program also discussed a number of statistics on SEC-registered investment advisers. Marina Baranovsky, principal owner of Scitus Consulting LLC, moderated the program, which featured Monique S. Botkin, associate general counsel of the Investment Adviser Association; and Dechert partner Michael L. Sherman and senior associate Christine Ayako Schleppegrell. This article highlights the panelists’ key takeaways for fund managers. See our two-part series “Lessons Learned From How Advisers Dealt With the October 2017 Amendments to Form ADV”: Part One (Feb. 7, 2019); and Part Two (Feb. 14, 2019); as well as “A Roadmap of Potential Landmines for Fund Managers to Avoid When Completing the Revised Form ADV” (May 25, 2017).

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