As the March 31st Form ADV filing deadline approaches, investment advisers must ensure their filings are accurate, complete, and fully compliant with SEC and state regulations. Whether you’re preparing your Annual Update Amendment (AUA) or addressing material changes, this live training session on March 21st will provide practical guidance to keep your firm compliant.
What You’ll Learn:
The key sections of Form ADV Part 1 & 2A/B and their compliance implications.
Common deficiencies and how to avoid them before submission.
Filing deadlines and material change triggers that require intra-year updates.
How to ensure consistency across Form ADV, marketing materials, and client agreements.
Best practices for forensic testing to verify accuracy before filing.
Who Should Attend?
Compliance officers and advisers responsible for Form ADV updates.
Investment Adviser Representatives (IARs) seeking 1.5 IARCE credits.
Any firm looking to enhance portions of its compliance review process.
Course Details:
Date: Thursday, March 21st
Time: Noon ET
Location: Virtual – Live Session
IARCE Credit: 1.5 Ethics and Professional Responsibility Credits
Reserve Your Spot Today:
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