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Clifford Chance

Clifford Chance


SEC Information Update to Form ADV FAQs

15 June 2017

On June 12, 2017, the staff of the Division of Investment Management (the “Staff”) of the U.S. Securities and Exchange Commission (the “SEC”) released new guidance in the form of “Frequently Asked Questions” (“FAQs”) for investment advisers that submit Form ADV to the SEC pursuant to the Investment Advisers Act of 1940, as amended (the “Advisers Act”), either as “exempt reporting advisers” (“ERAs”) or registrants (“RIAs”).

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