Finn Dixon & Herling LLP

Investment Adviser Resource Center
FDH Compliance Series™

Recent Headlines

SEC Proposes Rules to Implement New Investment Adviser Registration Requirements Mandated by Dodd-Frank Act More »

SEC Proposes New Whistleblower Program Under Dodd-Frank Act More »

Connecticut Adopts New Form ADV Part 2 More »

SEC Adopts New Form ADV Part 2 More »

President Obama signs Dodd-Frank Act into Law: Changes to Investment Adviser Registration Requirements More »

Compliance Tools

  • Dodd-Frank Decision Tree: Who Must Register with the SEC as an Investment Adviser?
    Download PDF (40.97 K)
  • Sample Timeline: SEC Registration and Development of Compliance Program
    Download PDF (38.29 K)
  • For Private Equity Fund Managers, Hedge Fund Managers and Other New Registrants: Becoming an SEC-Registered Investment Adviser
    Download PDF (34.16 K)

Other Compliance Tools
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  • Worksheet and Checklist: SEC Registration and Development of Compliance Program
  • Worksheet and Checklist: New Form ADV Part 2
  • Personnel Questionnaire: New Form ADV Part 2B
  • Compliance Manual Template

Webcasts

Client Alerts and Memos

  • Investment Adviser Annual and Other Compliance Matters
    Download PDF (2.93 M)
  • Dodd-Frank - Title IV: Investment Adviser Registration; Investment Fund Reporting
    Download PDF (4.66 M)
  • Reminder: 2011 IARD Renewal Program
    Download PDF (1.36 M)
  • Marketing and Advertising Fundamentals for Private Investment Funds
    Download PDF (6.44 M)

Other Resources