Everything You Need to Know About Form ADV Part I and How to Avoid Common Mistakes
June 8, 2010
1:00 PM - 3:00 PM EST
Experts will systematically walk through Form ADV Part 1 – including the latest revisions relating to the recent Custody Rule amendments. Form ADV instructions require SEC and state registered investment advisers to submit an Annual Updating Amendment to Form ADV Part 1 filing via the IARD system within 90 days of their firm's fiscal year-end. This session will review what’s required as part of this mandatory electronic filing, as well as provide guidance on correlating the information reported in Form ADV Part 1 to disclosures in Form ADV Part II. Inaccurate and/or inadequate Form ADV disclosures are consistently cited in the SEC's and many states' list of 'Top Ten Deficiencies’.
In addition to a detailed overview of Form ADV Part 1, Schedule D, and applicable Form ADV Part 1 Instructions, instructors will help you fully understand Annual Amendment filing requirements, appreciate the meaning of certain key words and terms and avoid making common mistakes.
This session will also provide a brief summary of Form 13F, Schedule 13D and Schedule 13G reporting procedures under the Securities Exchange Act of 1934 and the applicability of these filings to certain investment advisers.
Instructors will focus on:
- Understanding Annual Amendment filing requirements, and avoid making common mistakes.
- Provide insight and clarity into the information being sought in Form ADV Part 1 to ensure your firm is accurately reporting such information.
- Establish a team approach to develop and maintain a Form ADV Part 1 that complies with regulations and is consistent with your firm's Form ADV Part II, policies and procedures, advisory contracts, client communications and advertising.
- Understanding the basic mechanics of Form 13F, Schedule 13D and Schedule 13G reporting requirements.
