Form ADV Toolkit
Recent Form ADV amendments continue the Big Data trend. Form ADV continues to expand ever more rapidly as data mining and handling techniques by regulators allow for the utilization of Form ADV for risk measurement. Ease the burden by signing up to receive access to our free Form ADV toolkit. The toolkit includes valuable content such as templates, checklists and commentary from our consulting team to make this process as painless as possible – whether you’re filing your firm’s Form ADV for the first time or the 20th.
Sign up and you’ll receive:
- Ascendant Summary of 2017 Form ADV Changes
- Ascendant Checklist of New Required Information in 2017
- Ascendant Form ADV ComplianceCast and Powerpoint presentation
- Ascendant Part 2A Template
- Ascendant Part 2B Template
- Ascendant Checklist to Review Part 2A
- Ascendant Checklist to Review Part 2B
- And more!
The complexity of the SEC’s Custody Rule is not to be underestimated. Custody issues remain among the most common deficiencies cited during SEC exams, and even firms with strong compliance programs have had challenges interpreting and applying the different rule elements, No-Action letters, FAQs and Investment Management Guidance Updates. Based on our experience in the field, CSS has created a unique offering to help you better understand the Custody Rule and how it applies to your business – the CSS Custody Toolkit.
Our Custody Toolkit will help you understand and document compliance with the key elements of the Custody Rule; identify accounts over which your firm has custody; identify available exceptions to certain requirements of the Rule based on industry guidance; manage a list of accounts to provide to an accountant for a surprise examination; and evidence your analysis for determining the information in Item 9 of your Form ADV Annual Updating.
The Toolkit includes:
- A robust, interactive Custody Questionnaire
- A Form ADV Worksheet template
- Aggregated library with links and references to underlying regulatory material
- And more