1-Hour Program

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Overview

As you prepare and review your advisory firm’s Form ADV, you will need to have in mind the intense SEC scrutiny with respect to conflict disclosures, current enforcement activity and the new Form CRS requirements.   New and evolving areas of disclosure focus such as proxy voting and ESG investments will also be part of this year’s ADV review process.  Please join Clifford E. Kirsch, partner, and Issa J. Hanna, counsel, of Eversheds Sutherland (US) LLP as they discuss these and other key issues to address in this year’s Form ADV.

Topics include:

  • Conflict disclosures
  • Recent enforcement actions
  • The SEC’s exam focus and recent compliance alerts

 

Program Level:  Update

Intended Audience:  Corporate, securities and financial services attorneys, compliance professionals, investment advisers, broker-dealers , fiduciaries and allied professionals involved in preparing and reviewing Form ADV

Prerequisites:  None

Advanced Preparation:  None

Credit Details