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News March 11, 2019 Issue

Form ADV Part 2A Difficult Challenges – and How to Handle Them

With March 31 approaching, many investment advisers, their legal representatives and consultants are deep into the Form ADV process. Meeting the deadline, of course is just one challenge. The other is ensuring that the Form is updated to properly disclose changes that took place in an adviser’s business during the past year or that are expected in the coming year. This information is required for both existing and prospective clients – and you can be sure the SEC will be paying attention.

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