Navigating the Annual Requirements for Investment Advisers
Samantha Bonamassa • January 13, 2021
SEC-registered investment advisers must navigate several annual and ongoing regulatory and compliance requirements. Two of the most important investment adviser annual requirements are submitting an annual updating amendment to the Form ADV and conducting an annual review. Failing to comply with these annual requirements can subject an investment adviser to regulatory examinations, enforcements, fines, censures, reputational harm, and other penalties. In this podcast, attorney Samantha Bonamassa discusses the compliance requirements and answers FAQs.
More News & Resources
Lavelle Law News and Events
In this video, Lavelle Law attorney Nataly Kaiser provides crucial legal tips if you are named as agent under a Power of Attorney for Property. Know the law before you act!
New Year, New Employment Laws: Key Illinois Changes Effective 2026 - a Lavelle Law Breakfast Briefs seminar.
Stay ahead of Illinois’ evolving employment law landscape and help safeguard your organization in 2026. Register now for this targeted, must-attend session.
Bankruptcy Can Discharge Some Tax Liabilities. The toll of the high inflation of the past few years, combined with lingering economic aftershocks from COVID-19, has created a great amount of economic uncertainty for many people.
In the News: Elgin Area Chamber announces attorney Steven A. Migala as 2026 board chair.
Success Story: Lavelle Law secures emergency guardianship and protects a vulnerable mother from exploitation in unique and challenging case.
If you are an auto dealer concerned about the risk of facing class action litigation from the use of consumer tracking technology, it is important that you fully understand the data-collection and consumer tracking tools in use on your website and take the proper steps to minimize your risk.
Happy New Year! As we say farewell to 2025, we’re excited to look back on some cool travel destinations of our Koozie Challenge - from fiery volcanoes in Guatemala to icy glaciers in Alaska! A big thank you to our family and friends who took part in the fun. We wish you a happy and adventurous new year!
Over 280 New Illinois Laws are going into effect in 2026. We have listed and summarized some that may have a significant impact on you or your business.
The Department of the Treasury and the Internal Revenue Service recently issued a notice announcing upcoming regulations and providing guidance regarding Trump Accounts, which are a new type of individual retirement account (IRA) for eligible children.
How do you choose the right attorney or law firm for your needs? Attorney Kerry Lavelle has refined his answer to this common question into a clear, two-part test - one that helps individuals and businesses identify legal representation that is both highly competent and truly client-focused.
