Compliance Requirements for Exempt Reporting Advisers Checklist

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The Securities and Exchange Commission ("SEC") has full authority to conduct examinations of exempt reporting advisers ("ERA") books and records at any time, making it imperative that ERAs are vigilant with their compliance responsibilities.

To help ERAs understand their compliance obligations, we created a checklist outlining the requirements specific to exempt reporting advisers and advisers managing private funds.

A few compliance requirements included on the checklist are:

  • Submitting and updating Form ADV Part 1A
  • Regulation D and State Blue Sky Filings
  • Adopting and maintaining a Code of Ethics

Contact us if you any questions about our private fund adviser compliance software.

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Note: RIA in a Box LLC is not a law firm, investment advisory firm, or a CPA firm. RIA in a Box LLC does not provide legal advice or opinions to any party or client. You should always consult your relevant regulatory authorities as this information should not be relied upon as currently accurate.
This information is provided for educational purposes only and is not an exhaustive list of regulatory requirements.