
By Buddy Doyle
Subscribe to our original industry insightsThe SEC provided an exemptive order this week in response to the COVID-19 event. In limited circumstances, Investment Advisors and Exempt Reporting Advisors will have an additional 45 days from the original deadline to complete and submit their annual filings or material changes.
Procrastinators need to understand that there are specific circumstances requirements to meet this exemption including:
If you have questions regarding this Exemptive Order or want to discuss how Oyster and our clients are reacting to impact of the COVID-19 event, please do not hesitate to contact us. Helping firms during their time of need is what we do best. Oyster provides free resources such as podcasts and blogs, as well a team of consultants and software to help you organize and automate your compliance program. Oyster Consulting has the knowledge and experience to support your efforts to achieve compliance.
If you have any questions about Oyster’s services or would like to discuss how to keep your firm safely operating during this time, please do not hesitate to contact us by calling (804) 965-5400 or completing our contact form, and a Relationship Manager will be glad to connect you with an Oyster expert.
"*" indicates required fields
Download the Capital Markets Services eBook to learn about CAT Reporting, Trade and Position Reporting, Market Access and Best Execution.
Download