FORM ADV and Investment Adviser Act Rule Updates 2017

Topics

• ADV Part 2 A
• ADV Part 1
• Annual Filing Requirements
• ADV Part 2 B
• Final Rule
• Other Than Annual Filings
• Requirements for Annual Amendments
• Descriptions of Sections of ADV Part 1 and Part 2 A & B
• What are Material Changes?
• When do Material, Changes need to be updated other than annually
• The areas to consider avoiding regulatory events

Who should Attend

Attendees from:

• Financial Advisors
• Chief Compliance Officers
• Certified Financial Planners
• Financial Planners
• Investment Managers
• Chartered Financial Analysts
• Compliance Professionals
• Operations Managers
• Audit/Risk Managers
• Compliance Consultants