Charlotte - New Form ADV Part 3 (CRS), Reg BI, and Fiduciary Duty Seminar 2019

Topics

• New ADV Part 3 (Client Relationship Summary)
• Best interest and fiduciary standards as described by the SEC recent releases
• 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 RIAs

Reasons to Attend

• Learn how to prepare the new ADV Part 3 (Client Relationship Summary)
• Learn what the best interest and fiduciary standards mean for your RIA’s 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

All registration fees will be fully refunded if event is cancelled due to failure to meet minimum attendance requirements. Registrants may cancel fifteen (15) days or more prior to event and receive a refund equal to 50% of registration fee.

This seminar does not create an attorney-client relationship with anyone involved unless there is a written agreement creating said relationship. The information contained in this seminar is provided for informational purposes only, and should not be construed as legal advice on any subject matter. No recipients of content from this seminar should act or refrain from acting on the basis of any content included in the site without seeking the appropriate legal or other professional advice on the particular facts and circumstances at issue from an attorney licensed in the appropriate state. Parker MacIntyre expressly disclaims all liability in respect to actions taken or not taken based on any or all the contents of this seminar.