With new regulations and registration requirements, the middle part of 2012 looks to be a busy one with compliance dates around every corner. Planning ahead to meet compliance obligations is crucial; to assist you we’ve compiled this reminder of key dates.
April 2012:4/30/12: Annual delivery of Form ADV Part 2 Brochure or delivery of a Summary of Material changes with an offer for the full brochure.May 2012:5/22/2012: Performance Fees- Provisions under the revised Rule 205-3 under the Advisers Act go into effect.June 2012:6/28/2012: Switch deadline from SEC to State registration for RIAs. RIA’s no longer able to register with the SEC must complete their appropriate state registration and withdraw from SEC registration by this date. July 2012:7/1/2012: ERISA 408(b)(2) Fee Disclosure Effective Date.August 2012:8/30/2012: ERISA 404(a) and 408(b)(2): Fee Disclosures- For calendar year plans, initial annual disclosure deadline (60 days after effective date of regulation).Red Oak Compliance Solutions is available to help. We can provide guidance on all of your compliance needs. For more information or to request information on how we can help, please contact us.
About Red Oak Compliance Solutions
Red Oak Compliance Solutions is a leading provider of intelligent compliance software, offering a range of AI-powered solutions designed to help firms of all sizes successfully navigate the increasingly complex regulatory landscape. Our suite of 17(a)-4/WORM compliant features offer risk minimization, cost reduction, and process optimization capabilities with features that are designed to evolve with our client’s needs. Our flagship advertising review software enables firms to deliver compliant content to the market with confidence, faster. Our Disclosure Management and Intelligence solution simplifies the management of disclosures, while our Registration Management solution automates and streamlines the licensing and registration process, further enhancing your internal processes.