As we approach the end of 2016, this is a good time of year for registered investment advisors to review their investment advisor compliance filings. At the end of every year, I provide my clients with a year-end checklist to quickly review and confirm that they have met their investment advisor compliance requirements over the past year. Briefly, the more immediate investment advisor compliance requirements are as follows:
- Fund your FINRA account by December 16, 2016 to pay your 2017 Renewal Fees;
- Begin your review of your Form ADV Part 1, Form ADV Part 2A Brochure, Form ADV Part 2B Brochure Supplement in preparation of your annual amendment filing for 2017. Registered Advisor firms with a December fiscal year end, the filing is due by March 31, 2017;
- In early February, FINRA will send your Super Account Administrator an email in order to confirm the users on behalf of your firm on the FINRA systems. Be sure to follow the instructions in that email by the deadline to not be locked out of that system.
These are just a few of the more immediate investment advisor compliance filing requirements. Need assistance with your firm’s overall compliance requirements? Contact Registered Advisor Services today and learn how we may partner together to keep your firm compliant!
