Thompson Hine is pleased to invite you to listen to the second episode of Market Matters, our podcast series that explores legal and regulatory issues affecting the investment management industry.This episode features Cassandra Borchers, a partner in Thompson Hine’s Investment Management practice group, discussing the annual update of Form ADV for registered investment advisers and exempt reporting advisers. The podcast covers the following topics:
The various filing requirements for SEC-registered investment advisers, state-registered investment advisers and exempt reporting advisers.
Filing deadline: The annual update must be filed by March 31, 2017 for advisers whose fiscal year ended December 31, 2016.
Recordkeeping requirements: Section 204 of the Advisers Act requires investment advisers to make and keep certain records as prescribed by the SEC.