Washington DC Compliance Round Table

Scitus Consulting, LLC moderated a panel, titled “Washington DC Compliance Round Table,” which focused on the top 12 questions many advisers face as they prepare to make their first filing on amended Form ADV Part 1A. Dechert partner Michael Sherman and associate Christine Ayako Schleppegrell spoke on this panel.

The panel focused on how, as of October 1, 2017, advisers filing other-than-annual amendments or annual updating amendments have had new disclosure requirements, namely substantial disclosure of separately managed accounts, including information on borrowings and derivatives. In addition, it explored how advisers must also disclose additional information on custodians, chief compliance officers, social media websites and office locations.