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https://www.ria-compliance-consultants.com/2011/04/electronic-delivery-of-new-form-adv-part-2/
Apr 12, 2011 · Electronic Delivery of New Form ADV Part 2 April 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.
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.sec.gov/about/forms/formadv-part2.pdf
ADV, Instructions for Part 2A of Form ADV, Instructions for Part 2B of Form ADV, and (if you are preparing or updating a wrap fee program brochure) Instructions for Part 2A Appendix 1 of Form ADV, before preparing or updating your brochure or brochure supplements. 1. Narrative Format. Part 2 of Form ADV consists of a series of items that ...
https://www.sec.gov/rules/concept/33-7288.txt
Because electronic delivery systems allow broker- dealers and their associated persons to freely contact the general public, as well as their clients, firms should maintain effective supervision and records of associated persons' communications to avoid potential sales practice problems. ... Advisers Act Form ADV, 17 CFR 279.1 (application for ...
https://www.morganlewis.com/-/media/files/publication/outside-publication/article/compcorner_electronicdeliveryformadv.ashx
}Compliance Corner — By Jennifer L. Klass and F. Mindy Lo* 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 …
https://www.ria-compliance-consultants.com/2011/04/new-form-adv-part-2-delivery-requirements/
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. If your investment advisor is registered with the U.S. Securities and Exchange Commission (“SEC”) and filed the new Form ADV Part 2A, your investment adviser must now begin to deliver the new brochure to its investment ...
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.paulhastings.com/docs/default-source/PDFs/1706.pdf
SEC Adopts New Brochure Requirement for Registered Advisers BY THE INVESTMENT MANAGEMENT PRACTICE 1. Overview The Securities and Exchange Commission (“SEC”) has adopted long-awaited amendments to Part 2 of Form ADV and related rules under the Investment Advisers Act of 1940, as amended (the “AdvisersFile Size: 908KB
http://www.advisorsolutionsgroup.com/wp-content/uploads/documents/COMPLIANCE_SUMMARY_ELECTRONIC_DELIVERY_2012-04-13.pdf
Apr 13, 2012 · SEC views information distributed through electronic means as satisfying the delivery or transmission requirements of federal securities laws if such distribution results in the delivery to the intended recipient of substantially equivalent information as they would have received if the information were delivered to them in paper form.
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