Key Take Away:
This webinar will review what the ADV is, how it is used and the better practices of how to maintain an accurate regulatory document and updating process.
Overview:
Maintaining and memorializing the required information to be reported on the firm’s form ADV throughout the year will make the process streamlined and overall more accurate and efficient. Learn best practices as well as the regulatory requirements.
Why Should You Attend:
“Sections 203 and 204 of the Advisers Act [15 U.S.C. §§ 80b-3 and 80b-4] authorize the SEC to collect the information required by Form ADV. The SEC collects the information for regulatory purposes, such as deciding whether to grant registration.
Filing Form ADV is mandatory for advisers who are required to register with the SEC and for exempt reporting advisers. The SEC maintains the information submitted on this form and makes it publicly available. The SEC may return forms that do not include required information. Intentional misstatements or omissions constitute federal criminal violations under 18 U.S.C. § 1001 and 15 U.S.C. § 80b-17.”
Ensure your ADV is not being miss-interrupted and that you have met all the requirements.
Areas Covered In This Webinar:
The webinar will cover the Regulations, the Collection of Information as well as maintaining the Summary of Material Changes. It will provide an overview of ADV Part 1 and Part 2 as well as look at what might be considered “Low Hanging Fruit” to the regulators.
Learning Objectives:
• Understand what the ADV is
• Know what it is used for
• How to create and maintain it
Who Will Benefit:
• Financial Staff
• Registered Investment Advisors
• Investment Management
• Audit and Compliance Personnel/Risk Managers
• Operations Managers
• Chief Operating Officers
• Attorneys
• Client Service Managers
• Investment Management/Portfolio Managers/Research Analyst
For more information, please visit : https://www.atozcompliance.com/trainings-webinar/banking-financial-services/financial-trading/the-adv-not-just-an-annual-task/lisa-m-marsden/300122
Email: support@atozcompliance.com
Toll Free: +1- 844-414-1400
Tel: +1-516-900-5509
Level:
Intermediate
Speakers Profile:
Lisa M. Marsden
Lisa M. Marsden, IACCP, is the president and founder of Coulter Strategic Services. Coulter Strategic Services provides financial advisors and consulting firms with compliance and project management services.
Prior to that, Ms. Marsden was the chief operating officer/chief compliance officer of Financial Trust Asset Management, Boca Raton, Florida. She has been in the financial services industry for over 25 years.
Ms. Marsden has a broad array of talent, knowledge and an entrepreneurial approach in the area of regulatory compliance and business operations.
Comments