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
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.