2025 is ending— is your vessel audit-ready?

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Year-End Compliance Alert for Investment Managers - Cott Law Group As we approach the final quarter of 2016, we would like to take this opportunity to remind you of the following legal, regulatory and compliance obligations that may apply to certain investment managers heading into 2017. Investment Advisers and Exempt Reporting Advisers Annual Amendment of Form ADV.  Each registered investment adviser (“RIA”) and exempt reporting adviser […]

New Blog Post: Year-End Compliance Alert for Investment Managers… #cottlawgroup #yearendcompliance

cottlawgroup.com/year-end-compl…