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https://www.ria-compliance-consultants.com/2011/04/electronic-delivery-of-new-form-adv-part-2/
Apr 12, 2011 · As your investment adviser firm is getting ready to deliver the new Form ADV Part 2 to its investment advisory clients, you may be considering electronic delivery as an option. The U.S. Securities and Exchange Commission (“SEC”) will permit an investment adviser to deliver the Form ADV Part 2 electronically; however, certain conditions must be met.
https://www.law.cornell.edu/cfr/text/17/275.204-3
(a) General requirements. If you are registered under the Act as an investment adviser, you must deliver a brochure and one or more brochure supplements to each client or prospective client that contains all information required by Part 2 of Form ADV [17 CFR 279.1].(b) Delivery requirements. Subject to paragraph (g), you (or a supervised person acting on your behalf) must:
https://advisors4advisors.com/compliance/registered-investment-advisors/article/12991-electronic-delivery-of-new-form-adv-part-2
Apr 12, 2011 · As your investment adviser firm is getting ready to deliver the new Form ADV Part 2 to its investment advisory clients, you may be considering electronic delivery as an option. The U.S. Securities and Exchange Commission (“SEC”) will permit an investment adviser to deliver the Form ADV Part 2 electronically; however, certain conditions must be met. The following are some of the key …
https://www.morganlewis.com/-/media/files/publication/outside-publication/article/compcorner_electronicdeliveryformadv.ashx
Electronic Delivery of Form ADV . Electronic delivery is not a new topic for investment advisers. In fact, the . Securities and Exchange Commission (“SEC”) interpretive guidance that sets forth the framework for electronic delivery dates back to a series of electronic media releases that were published beginning in 1995.
https://www.sec.gov/rules/proposed/2018/34-83063-appendix-b.pdf
[Form ADV, Part 3:] 1. Instructions to Form CRS . General Instructions . ... with SEC guidance regarding electronic delivery of documents, in particular . Use of Electronic Media by Broker-Dealers, Transfer Agents, and Investment Advisers for Delivery of Information
https://www.morganlewis.com/pubs/electronic-delivery-of-form-adv-iaa-newsletter-compliance-corner
Outside Publication Electronic Delivery of Form ADV, IAA Newsletter: Compliance Corner September 2011
https://www.ria-compliance-consultants.com/2011/04/new-form-adv-part-2-delivery-requirements/
NEW FORM ADV PART 2 DELIVERY REQUIREMENTS April 08, 2011. If your investment advisor has filed the new Form ADV Part 2A, you can breathe a brief sigh of relief. However, now it is time to focus on the new delivery requirements. ... Electronic Delivery of New Form ADV Part 2 ...
https://www.cms-lawnow.com/ealerts/2015/12/electronic-documents-and-email-delivery-in-scotland--the-way-ahead
Electronic documents and e-mail delivery in Scotland – the way ahead ... An advanced electronic signature backed up by a certificate in terms of the legislation will attract the same statutory presumptions of authenticity as a pen and ink executed and witnessed paper document.
http://static.contentres.com/media/documents/c05cab14-6247-4996-b377-6ccf688d2e4f.pdf
National Planning Corporation (The “Firm”) makes electronic delivery of certain documents available to clients. By your signature below, you consent and acknowledge to having received Form ADV Part II or Disclosure Brochure via electronic mail or CD, on the terms set
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