2018 Webinar - Form ADV Part 1A Amendments: Guidance and Best Practices for Compliance

When:  Feb 21, 2018 from 1:00 PM to 2:00 PM (ET)

Join our panelists for guidance on interpretative questions and best practices in completing the new amendments to Form ADV Part 1A required for a firm’s next annual updating amendment. Learn what data will be required to be collected and reported, including:

  • Information about the adviser’s clients such as the number of each client type and their regulatory assets under management (RAUM), the type and amount of assets held in “separately managed accounts” (SMAs), borrowing and derivatives in SMAs, and custodians holding at least ten percent of an adviser’s SMA RAUM.
  • Other new disclosure items, including Item 1 – branch offices, website addresses for an adviser’s social media platforms, and the use of outsourced CCOs; Item 8 – compensation for client referrals; Item 9 - custody updates; and new optional umbrella registration and Schedule R for relying advisers.

Presenters

Michelle Kennedy is President of Compass Compliance Services, LLC. Formerly Ms. Kennedy served as Vice President and Director of Compliance Platform Services for WealthTrust LLC, an investment management holding company with ten affiliated registered investment advisory firms. She worked with WealthTrust for three years conducting the annual reviews for all affiliates, providing compliance support, advising on performance composite maintenance, including adherence to GIPS standards and supporting firms’ onsite during SEC exams. Prior to joining WealthTrust, she was Vice President of Greenwood Capital Associates, a registered investment adviser. During her fifteen years with the firm, she was responsible for compliance, operations and performance composite maintenance and served as the firm’s Chief Compliance Officer for the last four years of her tenure. Ms. Kennedy is past president and founding member of the Advent User Group and has appeared as a panel member at various compliance related seminars. She received her B.S. and M.B.A. degrees from Clemson University and resides in Greenville, South Carolina.

Jamie Lynn Walter is a partner in the Investment Funds Group in the Washington, D.C. office of Kirkland & Ellis LLP. Prior to joining Kirkland, Jamie was Senior Counsel in the Private Funds Branch of the U.S. Securities and Exchange Commission’s Division of Investment Management. Jamie has extensive public and private sector experience related to the investment management industry. While at the SEC, she provided legal advice and guidance on a wide range of matters involving the regulation of investment advisers and investment funds, including private funds, mutual funds and exchange-traded funds. Prior to joining the SEC, Jamie was in private practice where she advised clients on a variety of legal matters related to the structure, management and operation of private funds. Before entering private practice, she served as law clerk to Judge Jacques L. Wiener, Jr. of the United States Court of Appeals for the Fifth Circuit. She is a graduate of Tulane University Law School, J.D., magna cum laude, 2007, where she was Managing Editor of Tulane Law Review, and Ohio University, B.A., Spanish and Political Science, cum laude, 2004.

Matthew Cook is an Attorney Adviser in the Private Funds Branch of the Investment Adviser Regulation Office, a unit of the Investment Management Division at the Securities and Exchange Commission. In that capacity, Matt provides legal advice and interpretative guidance to other divisions and offices within the Commission and to various participants in the industry, including registered investment advisers and exempt reporting advisers. Before joining the Commission, he was a senior associate in the asset management practice at Fried, Frank, Harris, Shriver & Jacobson LLP focusing on private fund formation and private fund adviser regulation. Matt received his J.D. from Georgetown University Law Center in 2008 and his B.A. from Colgate University in 2002.

Monique Botkin is Associate General Counsel of the Investment Adviser Association. Prior to joining the IAA in February 2004, Ms. Botkin was an associate in the financial services groups at Dechert LLP in Orange County, California and Alston & Bird LLP in Washington, DC. While in private practice, Ms. Botkin represented investment advisers, registered investment compa¬nies, private funds, and broker-dealers in corporate, securities and investment management matters. Ms. Botkin also served as an attorney in the SEC’s Division of Investment Management disclosure review office from 2013 to 2014. She earned her B.A. in government and politics from the University of Maryland at College Park and her J.D., cum laude, from Southwestern School of Law in Los Angeles, where she was an editor of the Law Review. Monique is a member of the State Bar of California.

Registration

Click the "Register" button on this page.

Registration for the live webinar closes on Tuesday, February 20, at noon ET.

IAA Members and IAA Associate Members: The recording will be available on IAA's website within five business days of the event.

Non-Member Registration Fees: The recording will be available for purchase after February 21. Contact iaaevents@investmentadviser.org to purchase the recording ($250).

Cancellation:
Cancellations and substitutions must be received in writing no later than noon on Tuesday, February 20. There are no refunds for cancellations after this date. Email your requests to megan.olson@investmentadviser.org.

Webinar Audio Platform

Audio for this webinar will be broadcast through the internet via your computer speakers. Please visit the IAA's Webinar FAQ page or email iaaevents@investmentadviser.org if you have questions.

Questions?

For questions regarding this call, contact the IAA at (202) 293-4222 or email iaaevents@investmentadviser.org.

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Contact

Megan Olson
(202) 293-4222
megan.olson@investmentadviser.org