Source: http://www.nrs-inc.com/Education-Solutions/Desktops-On-Demand/Desktops-on-Demand-Library/Form-ADV-Part-1-Program/
Timestamp: 2016-10-21 20:05:19
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Form ADV Part 1: Annual Updating Amendment and More - Desktops on Demand Library - On Demand Online Seminars - Education Solutions - National Regulatory Services
September 6, 20121:00 PM – 3:00 PM ET
Experts will systematically walk through new Form ADV Part 1 and examine new disclosure requirements for 2012 that impact all advisers and those that impact private fund advisers. This session will also detail the new method of calculating “regulatory assets under management (RAUM),” and provide guidance on correlating the information reported in Form ADV Part 1 to disclosures in Form ADV Part 2. Inaccurate and/or inadequate Form ADV disclosures are consistently cited in the SEC's and many states' list of 'Top Ten Deficiencies’.
This session will also provide a brief summary of Form 13F, Schedule 13D, Schedule 13G, and the new large trader Form13H reporting procedures under the Securities Exchange Act of 1934 and the applicability of these filings to certain investment advisers.
Define Annual Amendment filing requirements, and avoid common Form ADV Part 1 mistakes
Gain insight and clarity into the new information being sought in Form ADV Part 1 to help ensure your firm is accurately reporting such information
Define the basic mechanics of Form 13F, Schedule 13D and Schedule 13G reporting requirements
Chief Compliance Officers, Legal counsel, Compliance Staff at all levels and Management
See NRS Continuing Education GuideRecommended CPE Credit: 2