Will Your Firm’s Part 2 Withstand SEC Scrutiny?
1:15 PM – 2:30 PM
Thursday, May 17
Now that investment advisers have electronically filed the new Form ADV Part 2, the SEC will have the ability to scrutinize your Firm Brochure as never before.
This session will be beneficial to firms that are or soon will be drafting brochures as well as firms that have already negotiated the process but want to back check and review how they’ve done. The SEC has emphasized the importance of meaningful and clear disclosure and the need to avoid legalese and boilerplate disclosures, especially with respect to disclosure of material conflicts of interest and how the adviser deals with them. The panel will review the key Part 2 disclosure topics, including fees and compensation, disciplinary events and brokerage practices. The session will also address:
- How to identify and assess conflicts of interest within the framework of Part 2
- Tips for disclosing conflicts of interest
- "Plain English" drafting techniques and developing disclosure with the right level detail
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