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8:30 - 9:30 a.m.	Regulatory Review of the Brochure and Supplement Proposal
9:30 - 10:30 a.m.	Part 2's Most Difficult Disclosures Issues Revealed
10:30 - 11:00 a.m.	Break
11:00 a.m. - 12:00 p.m.	Part 2 Drafting Interactive Workshop

 

New Form ADV, Part 2: Key Insider Guidance to Making the Transition

 

Substantial revisions to Form ADV, Part 2 have led to attendee demand for our first-ever intensive “post-conference.” The agenda is geared toward providing high take-home value, including the practical guidance you will need to comply with the SEC’s proposed changes to Form ADV, Part 2 from a check-the-box format to a plain-English narrative disclosure.

 

The Commission’s proposed overhaul of Form ADV, Part 2 significantly alters how investment advisers disclose information about their operations to clients and prospects. A slew of IA chief compliance officers, leading attorneys, consultants and even one of the SEC’s senior staffers who worked on drafting the rule are here to share their considerable insights and know-how with you.

 

Aimed at “substantially improving advisers’ disclosure to clients,” the new Form ADV Part 2 and its 19 key proposed items is “intended to get clients disclosure that is more meaningful, more effective, and easier to understand,” according to Andrew Donohue, director of the SEC’s Division of Investment Management.

In this hand’s on session, we will:

• conduct a step-by-step review of the key provisions of the brochure and brochure supplement proposal;
• supply critical guidance on today’s most difficult disclosure issues; and
• facilitate an “interactive workshop” on drafting the new Part 2 with the assistance of your compliance peers.

8:30 a.m.-9:30 a.m.
Regulatory Review of the Brochure and Supplement Proposal

The opening session will lay the groundwork for the day. Our panelists will outline the key differences between current Form ADV Part II and the new Part 2 as proposed. They will walk through the 19 separate disclosure items and detail the information you will need to supply about your firm’s business practices, conflicts of interest, and disciplinary history. They will further cover the prospect for the annual delivery requirement and how realistic the Commission’s cost estimates are, among other items.

 

Speakers:
David Blass, Assistant Director, Division of Investment Management, SEC
Bibb Strench, Partner, Sutherland Asbill & Brennan
Lorna Schnase, Attorney at Law

 

9:30 a.m. – 10:30 a.m.
Part 2’s Most Difficult Disclosure Issues Revealed

The risk category that your firm will fall under for SEC exam purposes depends in large part on the accuracy of your ADV. Our panel will cover the pitfalls when it comes to Form ADV disclosure—disclosures that are inconsistent with your code of ethics, conflicts of interest from using soft dollars etc.—and call out current “best practices.” You will also hear what the public (and your competitors) will see on the SEC’s Investment Adviser Public Disclosure Web site.

 

Speakers:
Michelle Jacko, CEO, Core Compliance & Legal Services, Inc.
Helane Morrison, Chief Compliance Officer and General Counsel, Hall Capital Partners, LLC
Victor Frye, Counsel and Chief Compliance Officer, ProFund Advisors, LLC

 

10:30 a.m. – 11:00 a.m.

Break

 

11:00 a.m. – 12 noon
Part 2 Drafting Interactive Workshop
This is where it all comes together – in a fun and interactive way. You will see examples of how to complete Form ADV, with special attention on the brochure. Go home with pointers to avoid information overload (the SEC wants ADVs that investors will read!). Our panel advises you on how to steer clear of redundancies and unnecessary verbiage. Whatever your firm size, you will find this session will give you solid guidance to create or update your ADV and meet new regulatory requirements with confidence.

 

Speakers:
J. Christopher Jackson, Director and Head of U.S. Retail Legal, Deutsche Asset Management
Peter Mafteiu, IM&R CCO, Russell Investment Group
David Canter, Vice President and Associate General Counsel, Charles Schwab & Co., Inc.

Register Now!

 

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