Meeting New Compliance Requirements for Form ADV Part 1 Amendments Effective October 2017


Course Description:

The SEC adopted Form ADV Part 1 amendments that became effective on October 1, 2017, and you need to be ready to provide the new information these changes will require. Even if you do not anticipate filing an amendment before the annual update, you need to start reviewing the new items now to be certain that you can quickly and accurately provide the needed information when the time comes.

Learning Objectives:

After attending this course, attendees should be able to:

  • Identify the new data you will need to compile before your next Form ADV filing
  • Analyze each new question to understand exactly how it applies to your firm
  • Receive guidance on correlating the information reported in Form ADV Part 1 to disclosures in Form ADV Part 2.
  • Establish processes for maintaining books and records required with the new Form ADV

For Whom: Designed to increase the professional competence of investment adviser professionals with legal, compliance and management responsibilities

Suggested Skill Level: Basic

Instructional Method: Group – Internet Based

Pre-requisites for participation: No prerequisites are required. However, attendees can benefit by reviewing the Investment Advisers Act of 1940 and Form ADV to become familiar with structure and terms.

Advance Preparation: None

Continuing Education Credits:

NRS Continuing Education Guide
Recommended CPE Credit: 2 in the Regulatory Ethics field of study
Recommended IACCP® CE Credit: 2
Recommended CA MCLE Credit: 2
Recommended CFP® Credit: Pending