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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.sec.gov/news/press-release/2020-73
Mar 25, 2020 · Filing or delivery, as applicable, would still need to be made as soon as practicable but no later than 45 days after the original due date. Registered investment advisers and exempt reporting advisers affected by Coronavirus to file an amendment to Form ADV or file reports on Form …
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.assetmanagementadvocate.com/2020/03/sec-provides-relief-for-form-adv-and-form-pf-filing-and-delivery-obligations-in-response-to-covid-19/
Mar 16, 2020 · On March 25, 2020, the Securities and Exchange Commission (“SEC”) issued an order granting temporary relief for filing and delivery obligations of Form ADV and Form PF for investment advisers whose operations may be affected by the coronavirus. This relief supersedes the SEC’s previous order from March 13. The March 25 order extends the time of the relief to June 30, 2020, …
https://www.batesgroup.com/news/sec-extends-form-adv-filing-and-delivery-deadlines-due-to-covid-19
Compliance and Regulatory Alerts - 03-16-20. SEC Extends Form ADV Filing and Delivery Deadlines due to COVID-19. The SEC’s IAA Release No. 5463 on Friday, March 13 allows for extending the filing (March 30) and delivery (April 30) deadline dates of the Form ADV amendment by 45 days due to COVID-19 and its consequences. However, this is not an automatic extension.
https://www.ria-compliance-consultants.com/2020/03/sec-announces-adv-amendment-filing-deadline-extension/
Mar 16, 2020 · The investment adviser files the Form ADV or Form PF, as applicable, and delivers the brochure (or summary of material changes) and brochure supplement required by Rule 204-3(b)(2) and (b)(4) under the Advisers Act, as soon as practicable, but not later than 45 days after the original due date for filing or delivery, as applicable.
https://www.hardincompliance.com/blog/investment-adviser-compliance-to-do-list-for-2020/
Jan 14, 2020 · Form ADV Part 2B. If an adviser is required to deliver a Form ADV Part 2B, that document should be prepared for certain supervised persons providing advisory services to clients. Advisers are required to deliver all relevant Form ADV Part 2Bs before or at the time the supervised person begins to provide advisory services to the client.Phone: (833) 942-2218
https://www.debevoise.com/insights/publications/2020/03/sec-extends-form-adv-and-form-pf-deadlines-for
The RIA or ERA is unable to meet the filing or delivery deadline due to circumstances related to current or potential effects of COVID-19. An RIA otherwise required to deliver Form ADV Part 2 (or a summary of material changes): promptly notifies the SEC via email at [email protected] that it …
https://www.fa-mag.com/news/sec-grants-advisors-a-delay-in-filing-form-adv-54667.html
Mar 16, 2020 · The SEC said the relief aims to address both the needs of personal safety and the maintenance of reliable financial markets by covering in-person …
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