See Credit Details Below
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.
- 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
Advanced Preparation: None