The Locations

Thursday, October 3
Wednesday, October 9

Topics

The new ADV Part 3 (Form Client Relationship Summary) from the SEC's Release Nos. 34-86032; IA-5247

The best interest and fiduciary standards as described by the SEC in Release No. 34-86031

How Regulation BI and related releases impact your RIA business

The SEC’s interpretation of the Investment Adviser Broker-Dealer Exclusion

Department of Labor's Rules impacting advisors

 
 

Reasons to Attend

Learn how to prepare the new ADV Part 3 (Form CRS)

Learn what the best interest and fiduciary standards mean for your Investment Adviser and your compliance program

Learn what types of conflicts of interest will be required to be disclosed on Form ADV

Learn how the DOL’s current rules may also impact your RIA’s business practices and compliance program

Learn the impact of state fiduciary standards laws after the adoption of Regulation Best Interest

Bring your questions! There will be Q&A sessions designed to let you ask the questions you want to ask

The Tickets

Atlanta - New Form ADV Part 3 (CRS), Reg BI, and Fiduciary Duty Seminar 2019
Oct 03, 2019, 9:00 AM
Century Plaza 1, Suite 100
Charlotte - New Form ADV Part 3 (CRS), Reg BI, and Fiduciary Duty Seminar 2019
Oct 09, 2019, 9:00 AM
Hilton Charlotte Center City
 

The Speakers

Steve Parker

Principal,

Parker MacIntyre

Bryan Gort

Associate,

Parker MacIntyre

Patricia Klusmeyer

Associate,

Parker MacIntyre

Patrick Zichterman

Associate,

Parker MacIntyre

 
 

Parker MacIntyre

Parker MacIntyre represents investment advisers, broker-dealers, pooled investment vehicles, registered representatives, and others with respect to matters involving business formation, compliance, contracts, and all of the other legal challenges faced by firms and persons in the investment services arena. We regularly advise our clients with respect to issues including formation, regulation, reporting, advertising, supervision, and policies and procedures.

 

Parker MacIntyre attorneys have extensive experience in the securities regulatory arena. They have served as regulators and attorneys for regulators. They have represented companies and individuals in investigations and proceedings brought by the SEC, NASD (now FINRA), and many state securities regulators. Some of our attorneys also spent many years working as securities regulators -- examining firms, hearing and ruling on customer complaints, and bringing regulatory actions in court.

 

We are qualified and prepared to assist securities industry participants to avoid regulatory problems and to help them resolve any securities regulatory issues that might arise. We therefore know the financial services industry from the inside and the outside. We can help you put or keep your house in order to prevent or minimize regulatory action and customer complaints.

Questions

404-490-4060
 
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Parker MacIntyre 2987 Clairmont Road NE, Suite 200, Atlanta, Georgia 30312