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Investment Advisers Face Enhanced Information Reporting

October 1, 2017

The  Securities and Exchange Commission  (SEC) adopted amendments to several Investment Advisers Act rules, including the investment adviser registration data collection and reporting forms to enhance the reporting and disclosure of information by Investment Advisers.  These amendments are intended to improve the quality of information that investment advisers provide to investors and the SEC.

“These amendments are an important step in a series of rule-makings to enhance the SEC’s monitoring and regulation of the asset management industry,” said SEC Chair Mary Jo White. “Requiring investment advisers to report this additional information will provide investors and the Commission with a better understanding of the risk profile of each adviser and the industry as a whole.”

The amendments will require investment advisers to provide substantially more  information regarding their separately managed account business, including the aggregate data related to their use of borrowings and derivatives in the management, and additional information about other aspects of their advisory business, including branch office operations and the use of social media in the marketing of advisory services.


October 1, 2017
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