 Featured Event |
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Apr
24
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Tuesday1:15 PM - 3:15 PM (ET)
Ideally, your firm’s advertisements, contracts, disclosures and supervisory procedures should perfectly mesh. In practice, as these documents are often created by different persons with different sets of goals, and may be updated at different times, there may be points on which they contradict each other. What should you do when you find areas of disagreement among these key documents? In this interactive session panelists and attendees will examine some common (and not-so-common) examples of material discrepancies and review the various steps that may be used to correct them.
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Jan
11
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Thursday
1:00 PM
- 3:00 PM
(ET)
As an outcome the FINRA360 initiative, the SRO released its first exam findings report last year. In 2018, FINRA will continue to improve its exam program with plans for a series of process improvements, especially in the area of cycle exams. Part of the exam process improvements will include focusing on riskier activities.
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Jan
18
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Thursday
1:00 PM
- 3:00 PM
(ET)
Inaccurate and/or inadequate Form ADV disclosures are consistently cited in the SEC's and many states' list of “Top Deficiencies.” In this session, experts will systematically walk through Form ADV Part 1 and examine disclosure requirements that impact all advisers (including private fund advisers).
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Jan
23
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Tuesday
1:00 PM
- 3:00 PM
(ET)
Five years ago the SEC approved a new Form ADV Part 2, a "plain English" narrative approach to client disclosure, which was put into effect in 2011. The adopted rule changes require investment advisers to file their brochures electronically and the public has access to these brochures via the IAPD.
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Jan
25
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Thursday
1:00 PM
- 3:00 PM
(ET)
This course will speak to how the examination and enforcement culture has changed at the SEC, the new types of SEC exams, and how firms can prepare for them. Sample document request lists will be provided to review specific requested documents for different types of firms.
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Jan
30
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Tuesday
1:00 PM
- 3:00 PM
(ET)
Investment adviser advertising continues to be one of the top problem areas identified by the SEC. Advertising and performance often present complex issues for all advisers, as well as many traps for the unwary, frequent exam deficiencies and, in the worst cases, potential for SEC enforcement actions.
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