As industry regulations change and evolve continuously, BCWM stays informed about such changes and their implications. For instance, the relatively recent emergence of social media has necessitated regulators address how registered investment advisers should use these tools in compliance with the spirit and letter of existing regulations. Here are some of the most recent actions we have taken at BCWM to ensure we are in compliance with governing industry regulations:
- Updated our Investment Advisor Brochure (ADV) Part II to meet the new plain English requirements set forth by the Securities and Exchange Commission (SEC). View the document here.
- Submitted our annually updated ADV to meet the registration requirements of the SEC. View this document here.
- Updated our Social Media Policy to meet the new developments in the social media
- Continue to submit our privacy policy to clients annually
To learn more about the SEC’s recent amendments to form ADV, visit this investor bulletin at the Commission’s site.
This information is provided for general information purposes only and should not be construed as investment, tax, or legal advice. Past performance of any market results is no assurance of future performance. The information contained herein has been obtained from sources deemed reliable but is not guaranteed.