• Chief Compliance Officers
• Compliance Managers
• General Counsel
• Senior Managers

One CD and a computer is all you need!

Daniel Kahl is Branch Chief in the Office of Investment Adviser Regulation in the Division of Investment Management at the SEC. The Office of Investment Adviser Regulation is responsible for rulemaking and exemptive matters under the Investment Advisers Act. Prior to joining the Commission in 2001, Dan worked for the Investment Advisers Association, NASD Regulation, and the North American Securities Administrators Association.

Lisa Detwiler is the Managing Counsel at Lockwood Advisors, Inc. and Pershing Managed Account Solutions division of Pershing LLC, (subsidiaries of The Bank of New York Mellon Corporation) in Malvern, Pennsylvania.  From 1995 to June 2000, Lisa was a partner in the Philadelphia office of Schnader Harrison Segal & Lewis, LLP, where she was a member of the Business Department, and co-chair of the Financial Institutions Practice Group. Lisa served as Chief Counsel of the Pennsylvania Department of Banking from 1989 to 1995 and as a staff attorney at the Office of the Comptroller of the Currency in Washington, D.C. from 1987 to 1989.

Regina Griffith is a Compliance Officer for Lockwood Advisors, Inc., and Lockwood Capital Management, Inc and a Vice President of Pershing LLC. She is responsible for compliance testing and verification, monitoring the Advisers’ Compliance Program, privacy compliance, and dedicated compliance support to the Advisers’ Chief Compliance Officer and certain business units including the Pershing Malvern Office of Supervisory Jurisdiction. Regina began her career in the financial services industry in 1983 and has held positions within the Compliance Departments for Lincoln Financial Advisors, 1717 Capital Management, Inc., and PFPC, Inc. Prior to joining Pershing and Lockwood in 2007 she served as the Chief Compliance Officer for ADVISORport, Inc., a PFPC Company.

Linda Shirkey is president of The Advisor’s Resource, a Houston-based consulting firm that provides compliance expertise to investment advisers and hedge fund managers. Her firm conducts mock exams, prepares registrations, customizes policies and procedures manuals and assists with annual reviews, among other things. A former institutional stock broker covering money managers and major corporations, she was with Charles Schwab & Co. for 10 years.

This webinar was originally recorded October 19, 2010, 2:00 – 3:30 p.m., but due to the overwhelming demand for the recording, we have made it available on CD for your convenience.

If you do not get the guidance you need, we’ll refund your entire registration fee. 100% Guaranteed!

Webinars are sponsored by IA Week, a publication of IA Watch, the nation’s leading provider of practical guidance and regulatory advice to compliance professionals in the advisory industry.

Now that the SEC has finalized its regulations governing new Form ADV, Part 2, the clock is ticking toward when your firm must create a narrative, plain-English brochure and supplement.

Get a jump on this new and demanding requirement by purchasing the CD of IA Watch’s emergency webinar that dissects the SEC’s final rule and what it means for you and your firm. We’ve assembled an expert panel of speakers – including one of the rule’s authors from the SEC – to clearly explain the final rule, detail approaching compliance deadlines, provide insights into plain-English writing and suggestions for satisfying the most challenging parts of the new rule.

This 90-minute webinar gives you answers you need to transform your firm’s Form ADV, Part 2 to meet new SEC disclosure requirements and the fast-approaching 2011 deadlines.

Purchase the CD of the October 19th webinar, Form ADV, Part 2:  Solid Advice to Satisfy the New Plain-English Requirements and Meet Your Filing Deadline and take away:

• How the new Form ADV Part 2 brochure differs from the current form
• Advice on explaining how your firm gets paid and what the SEC considers under the definition of fees
• Tips for writing in “plain English”
• How best to describe ways your firm responds to conflicts of interest
• When you must provide clients and potential clients with your Part 2 brochure
• Tips to tackle challenging sections of the brochure, such as investment strategies, disciplinary information and compensation, and more
• Suggestions for how to describe delicate disclosures, such as soft dollars
• Guidance for how you should best approach assembling individual brochure supplements
• And much more.

Plus your handout includes examples of Form ADV, Part 2 plain-English brochures, a comparison of the old rule v. the new rule, the entire new rule and more – all the tools you need to comply.

YES, please rush me a copy of the CD containing the audio and speaker presentation materials of the webinar, Form ADV, Part 2:  Solid Advice to Satisfy the New Plain-English Requirements and Meet Your Filing Deadline for $195 [TA2015CD].

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