Seward & Kissel briefing: Annual obligation to update Form ADV

Securities and Exchange Commission (SEC) registered investment advisers with a 31 December year end must update Form ADV on or before 31 March 2018.

On 06 February 2018, Seward & Kissel published a memorandum reminding Securities and Exchange Commission (SEC) registered investment advisers with a 31 December fiscal year-end of the need to update their Form ADV on or before 31 March 2018.

The newly amended Form ADV means that a number of items may require attention, including:

  • Information Regarding Separately Managed Accounts
  • Additional Identifying Information and Information Regarding Advisory Business, and
  • Umbrella Registration.

Click here to read the memorandum

For more information contact an attorney at Seward & Kissel or Richard Perry.

This document (and any information accessed through links in this document) is provided for information purposes only and does not constitute legal advice. Professional legal advice should be obtained before taking or refraining from any action as a result of the contents of this document.