Search results with tag "Guidance concerning"

IM Guidance Update - SEC

STAFF GUIDANCE CONCERNING INVESTMENT ADVISER RELIANCE ON ... We frequently receive questions involving the transfer of a controlling. 15. ... adviser’s Form ADV if the changes would alter the answers on Schedules A and B or other parts of the Form ADV. 18. IM GUIDANCE UPDATE 5 4. “Can we rely on the succession provisions if we purchase a ...

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