Form ADV and Disclosure Documents
As the rising number of regulatory enforcement actions continue to rise, client disclosure documents are being scrutinized more closely by regulatory authorities than ever before.
At JLG, we offer a full range of proactive services designed to provide you with comprehensive and comprehensible client disclosure documents based on information relayed to you, so that your clients can make informed decisions.
Our firm and professional staff draft and review client disclosure documents in conformance with various legislative acts, including the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, Investment Company Act of 1940 and FINRA regulations, as applicable.
After evaluating existing client disclosure documents, we provide recommendations on how you may wish to enhance current disclosure documents. Client disclosure documents which we draft, evaluate and revise include, among others:
- Form ADV Part 2
- Client agreements
- New account forms and investment policy statements
- Offering documents
- Private placement memorandums
- Advertising and sales literature disclosures
- Performance marketing materials
- Response to request for proposals (RFPs) and questionnaires
- Wrap fee program client documents
- Mutual fund client documents
- Hedge fund client documents
- Financial plan documents
- Quarterly performance reports
- Monthly/quarterly invoice statements
- Section 408(b)(2) disclosures
For more information or to speak with a securities attorney — contact our attorneys directly at 619.298.2880 or contact us online.
Legal Risk Management Tips
- Wolters Kluwer: Practical Compliance & Risk Management For the Securities Industry , 11.2017
- Charles Schwab Compliance Review , 07.2014
- National Society of Compliance Professionals (NSCP) Currents , 01.2001
- Securities Law & Corporate Counsel Blog, 05.21.2020
- Securities Law & Corporate Counsel Blog, 04.15.2020