This summer, the SEC clarified investment advisers’ proxy voting fiduciary duties. It may be a good idea to review your policies and procedures now in light of this guidance.
Author Archives: Judy Gross
The new ADV Part 3 Form CRS will be required for certain investment advisers starting in 2020. Will you need to complete it? Contact us for an evaluation.
Summer is the perfect time to do a “books and records” review. Contact us for details on the best way to proceed with yours!
Form PF due dates vary depending on what type of investment adviser you are. Now is a good time to check your due date and start preparing.
Annual ADV updates for registered investment advisers are due on March 31, 2019. Let us review your amended ADV before you file!
Read the release at https://www.sec.gov/files/OCIE%202019%20Priorities.pdf
The SEC has posted its examination priorities for 2019. We are here to help!
JG Advisory celebrated its 13th anniversary in 2018. Our experience now spans a wide range of investment advisory services.
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SEC Office of Compliance Inspections and Examinations Announces 2018 Examination Priorities 2/7/18
SEC Office of Compliance Inspections and Examinations Announces 2018 Examination Priorities 2/7/18.
SEC Adopts Statement and Interpretive Guidance on Public Company Cybersecurity Disclosures 2/21/18