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.
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Registration for the live webinar closes on Tuesday, February 20, at noon ET.
IAA Members and IAA Associate Members: The live webinar and a link to the recording are complimentary. (Registrations made on or before February 20 at noon ET are automatically registered for both the live webinar and the recording.)
Non-Member Registration Fees:The live webinar is $250 (per computer logon). The recording will be available for purchase after February 21. Contact email@example.com to purchase the recording ($250).
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 firstname.lastname@example.org.
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For questions regarding this call, contact the IAA at (202) 293-4222 or email firstname.lastname@example.org.