Understanding Disclosure: Form ADV, Performance and Advertising  

Disclosure, disclosure, disclosure. You’ve heard it many times, but do you understand how to disclose your firm’s vital information to clients in ways that will withstand regulatory scrutiny? Experts will systematically walk through Form ADV – including the latest revisions, such as the anticipated Form ADV Part 2 – and help you learn what the SEC wants you to disclose and why. In addition, learn procedures to help assure that information in the firm’s Form ADV is consistent with marketing materials, performance reporting and advisory agreements. The Brochure Rule, the Advertising Rule and the Cash Solicitation Rule will be examined to further highlight areas of potential conflicts of interest, and help develop policies and procedures to limit the firm’s exposure to unnecessary risk.

This course will help you:

1) Compare the firm’s Form ADV with the prescribed Form ADV entries indicated during an item-by-item review to assure proper disclosure

2) Increase awareness of industry standards for disclosure requirements to avoid potential violations and fines

3) Isolate areas of potential conflicts of interest to alert and remind advisory firm employees of potentially risk-laden activity

4) Demonstrate an understanding of SEC standards and GIPS® to present performance data according to disclosure requirements

5) Use practical tips to help improve the firm's Form ADV, advisory agreements, advertising and performance presentation