January 15, 2021

Navigating the Annual Requirements for Investment Advisers

Annual Compliance Program Reviews
investment adviser, compliance, annual requirements, SEC registered investment adviser, Form ADV, annual review

SEC-registered investment advisers must navigate several annual and ongoing regulatory and compliance requirements. Two of the most important investment adviser annual requirements are submitting an annual updating amendment to the Form ADV and conducting an annual review. Failing to comply with these annual requirements can subject an investment adviser to regulatory examinations, enforcements, fines, censures, reputational harm, and other penalties. In this podcast Samantha Bonamassa, Founder and Principal of Coast to Coast Compliance, discusses the compliance requirements and answers FAQs.

How Coast to Coast Compliance Can Help.

If you are an SEC-registered investment adviser and are navigating the many regulatory and compliance filings there are annually and annual review, please reach out to us! Coast to Coast Compliance can help with the annual updating amendment to Form ADV, as well as provide a Customized Compliance Manual in accordance with Rule 206(4)-7 of the Advisers Act.

For more information, check out our blog post on Annual Requirements for Investment Advisers here!