The Hawaii Investment Adviser Registration Memo is a document issued by the State of Hawaii, which is used to register and regulate investment advisers operating in the state. It outlines the requirements for registering with the State, including providing information about the adviser's registration status, business entity type, financial qualifications, and compliance procedures. The memo also outlines the fees associated with registration. The different types of Hawaii Investment Adviser Registration Memos are: Initial Registration Memo, Renewal Registration Memo, and Change of Status Memo.
Hawaii Investment Adviser Registration Memo
State:
Hawaii
Control #:
HI-SKU-0880
Format:
PDF
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Investment Adviser Registration Memo
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FAQ
Private fund advisers are generally investment advisers that are required to register with the SEC or applicable state securities regulators as a registered investment adviser, unless they are exempt from applicable registration requirements (for example, as an exempt reporting adviser).
Advisors to investment companies registered under the Investment Company Act of 1940 must register with the SEC regardless of AUM. Advisors who are required to register in 15 or more states will generally register with the SEC regardless of AUM.
Investment advisers file Form ADV Part 1 to register with the SEC and/or the states or file certain sections of Form ADV to report as an Exempt Reporting Adviser with the SEC, and must periodically update the information on their forms.
The services you wish to provide: If your primary mode of daily business is the asset management and asset advice of your clients, then an SEC ? or at the very least a state registration ? will be required.
Investment Advisers Act of 1940 This law regulates investment advisers. With certain exceptions, this Act requires that firms or sole practitioners compensated for advising others about securities investments must register with the SEC and conform to regulations designed to protect investors.
Advisors to investment companies registered under the Investment Company Act of 1940 must register with the SEC regardless of AUM. Advisors who are required to register in 15 or more states will generally register with the SEC regardless of AUM.
More info
Additional information on the mechanics of the registration process is contained in the document "How To Register as an Investment Adviser. This information sheet does not provide a complete description of all of the obligations of SECregistered advisers under the law.Regulatory documents. In response to the outbreak of the coronavirus, the Department has issued the following memo regarding Connecticut-registered investment adviser filings: MEMORANDUM. To: Investment Advisors. From: Securities Regulation Division. State Investment Adviser. Each investment adviser representative (IAR) providing investment advisory services to a Texas resident must also register. New Mexico Investment Adviser Registration Requirements. A. IARD Eligible Investment Advisers. 1.