Investment Advisers Regulatory Checklist

12.06.17

Winstead's Investment Management & Private Funds Industry Group is pleased to provide you a summary of the significant compliance and reporting requirements for investment advisers.

This coming year will have a revamped ADV with some new requirements. A significant new consideration is the challenges that new cryptocurrencies and other digital assets present for investment advisers and their compliance programs. Beyond the considerations for clients and the merits as an asset class, if a particular cryptocurrency or digital asset (such as an ICO, “securities” token or “utility” token) is a security, then trading in such asset by covered persons of an investment adviser are covered under an investment adviser’s personal securities trading policy.

Finally, a continued focus on cybersecurity will likely dominate operational professionals’ agenda for 2018. Risk and vulnerability assessments, employee education and vendor management and due diligence should be top of mind when putting together your cybersecurity to do list.

READ MORE - INVESTMENT ADVISERS REGULATORY CHECKLIST

Contacts:

Andrew Rosell
Shareholder; Chair, Investment Management & Private Funds Industry Group
817.420.8261
arosell@winstead.com

Gavin Fearey
Of Counsel; Investment Management & Private Funds Industry Group
817.420.8276
gfearey@winstead.com

Courtney Mitchell
Associate; Investment Management & Private Funds Industry Group
214.745.5717
cmitchell@winstead.com

Ben Allen
Associate; Investment Management & Private Funds Industry Group
214.745.5649
ballen@winstead.com

Media Contact

Rachel Guy
Director of Marketing 
214.745.5177
rguy@winstead.com

Search Tips:

You may use the wildcard symbol (*) as a root expander.  A search for "anti*" will find not only "anti", but also "anti-trust", "antique", etc.

Entering two terms together in a search field will behave as though an "OR" is being used.  For example, entering "Antique Motorcars" as a Client Name search will find results with either word in the Client Name.

Operators

AND and OR may be used in a search.  Note: they must be capitalized, e.g., "Project AND Finance." 

The + and - sign operators may be used.  The + sign indicates that the term immediately following is required, while the - sign indicates to omit results that contain that term. E.g., "+real -estate" says results must have "real" but not "estate".

To perform an exact phrase search, surround your search phrase with quotation marks.  For example, "Project Finance".

Searches are not case sensitive.

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