SEC Enforcement’s Operation ADV: Readying Your ADV for the Increased Focus on Disclosures, Consistency and Conflicts
1:30 PM – 2:45 PM
Thursday, October 11
Marilyn Miles, Ellyn Roberts
The Enforcement Division’s new Asset Management Unit has announced “Operation ADV”, in which Enforcement itself will review ADV filings for inconsistencies, dramatic changes and indications of troubling practices. This session will not only give you the tools to identify such problems before the Enforcement Division does but will show you how to document and explain your changes and corrections should the need arise.
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