WGK Compliance And Regulatory Consulting Group Presented The FSI Webinar: Preparing For The Implementation Of The Revised Form ADV

Dionne Fajardo and Trisha Cram presented a webinar to Financial Services Institute members on August 31st titled “Don’t Get Caught Flat-Footed; Preparing for the Implementation of the Revised Form ADV.”  The SEC will roll out a revised Form ADV in October 2017 requiring investment advisers to report new and expanded firm and client information. Changes to the form may require advisers to implement initiatives now to assure that they capture and properly analyze its additional information requirements.   Being proactive by taking steps to assure a timely and accurate annual amendment filing is essential. This presentation covered the modifications to the Form ADV and offered suggestions on steps investment advisers can take now to be ready for the change. Read the PowerPoint presentation here

More information about Ms. Fajardo and Ms. Cram is available at: Dionne Fajardo and Trisha Cram.  Wiand Guerra King is a proud sponsor of the Financial Services Institute.