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Source Code

A Compliance Guide for Robo-Advisers

Form ADV Part 3

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SEC Announces Exams Will Focus on Compliance with Form CRS

By Craig Foster on April 15, 2020
Posted in Core Business Functions
Business audit. Magnifying glass on financial documents.

If you can believe it, May 1, 2020 is almost upon us.  And if you don’t remember from our February post, that is the day when advisory firms serving retail investors may start filing client relationship summaries on Form CRS.  As a reminder, Form CRS gives clients a quick summary of the key things…

New Form CRS – What You Need to Know Now

By Craig Foster on February 26, 2020
Posted in From the Start
disclaimer

OK, so remember last June when we discussed registering your firm? If you do, you may recall that the principal adviser registration document, Form ADV, is divided into two parts: Part 1 (a check-the-box form that is mostly for use by the regulator) and Part 2 (a narrative brochure that is the principal client…

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Source Code is an operational and compliance resource for robo-advisers of all sizes. Because of the unique way that these firms serve clients, robo-advisers face regulatory and functional challenges that traditional advisers do not. This blog regularly addresses those challenges in thoughtful, concise and practical posts.

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