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https://www.ria-compliance-consultants.com/2011/04/electronic-delivery-of-new-form-adv-part-2/
Apr 12, 2011 · 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 requirements. First, prior to electronic delivery, your investment adviser must obtain consent from the client.
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://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.jhinvestments.com/resources/all-resources/forms-and-applications/electronic-delivery-consent-form
Use this form to establish the electronic delivery of confirmation and quarterly account statements, tax information statements, annual/semiannual reports, and prospectuses. ... John Hancock Investment Management LLC is the investment advisor for the closed-end funds. ...
http://www.advisorsolutionsgroup.com/wp-content/uploads/documents/COMPLIANCE_SUMMARY_ELECTRONIC_DELIVERY_2012-04-13.pdf
Apr 13, 2012 · Electronic Delivery of Information . The SEC, in several interpretive, letters has provided general positions regarding how investment advisers may fulfill various disclosure and delivery of information requirements through the use of electronic media . In general, the
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.investmentadviser.org/home/home-content/advocacy
The statutory framework of the Investment Advisers Act of 1940 has proven remarkably robust in protecting investors while allowing the advisory profession to grow to benefit investors, the capital markets, and the U.S. economy. ... modernize electronic delivery rules; ... Investment Adviser Association - 818 Connecticut Ave. NW, Suite 600 ...
https://www.sec.gov/investment/im-guidance-updates.html
2017-04 - The Disclosure Review Process 2017-03 - Holding Companies and the Application of Rule 3a-2 under the Investment Company Act 2017-02 - Robo-Advisers 2017-01 - Inadvertent Custody: Advisory Contract Versus Custodial Contract Authority 2016-06 - Mutual Fund Fee Structures; see also Frequently Asked Questions on IM Guidance Update 2016-06 (Mutual Fund Fee Structures)
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 ...
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