Are you prepared for increased SEC scrutiny?

Are you prepared for increased SEC scrutiny?   Have you been complying with all of your RIA compliance requirements? • Updated the Form ADV? • Satisfied the brochure rule? • Delivered the annual new issue eligibility questionnaire? • Reviewed required compliance procedures and code of ethics? • Reviewed BCP and email retention, • Delivered audited financial statements to pooled vehicle clients, • Delivered Privacy Policy, • Confirmed ERISA compliance – 25% test for benefit plan investors? • Reviewed offering documents, side letters and IMAs, • Amended 13G or 13D Filings, Filed 13F and 13H Filings, • Reviewed Blue Sky Filings and SRO registration requirements

If you have any questions concerning these items, please contact Daniel G. Viola at 212.573.8038 or

Cheryl Spratt