US Newsletter | May 2022

US Newsletter

NEWSLETTER: Summer is finally here in New York and, with the end of the school year, immediate pressures may be starting to slow. This could be an opportunity to pick up compliance projects you may have postponed, review your policies and procedures and make sure you are getting ready for the second semester.  

Advisors should be preparing for the mandatory compliance deadline of the SEC’s new Marketing Rule (206(4)-1) this November.  As you complete your annual review, consider how your firm markets its services and which parts of the new rule will affect your efforts.
We outline some of the key changes in our article below, and are planning more tools for our clients this summer, including webinars, training and new compliance policies.

For Advisers with a fiscal year ending March 31st, keep in mind that you must update your Form ADV before June 29 and don’t forget to verify you have enough funds in your E-Bill account.

Our prayers and thoughts continue to be with the victims of the war in Ukraine.

Best wishes,

Joao Chagas
Bovill US

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