New Reporting on Form ADV Part 1A: What You Need to Know about the SEC’s Proposed Changes

Partner Jen Klass and associate Jack O'Brien will present on "New Reporting on Form ADV Part 1A: What You Need to Know about the SEC’s Proposed Changes" as part of the Investment Adviser Association's 2015 webinar series.

This webinar is intended to inform members about the changes that the SEC is proposing to Part 1A of Form ADV. Advisers will be required to report detailed information about their separately managed accounts, including a breakdown of asset/investment types in each account. Advisers with over $150 million in separately managed accounts will need to calculate the net asset value of the accounts and provide gross notional exposure of all derivatives in those accounts. The webinar will go through the proposed changes Item-by-Item, including a discussion of:

• What is included in “separately managed account” assets for which firms must report asset types, derivatives exposures and borrowings information?
• What additional information must firms provide about custodians for the separately managed accounts?
• How will firms report their RAUM attributable to each type of client?
• Comments the IAA is considering making; we encourage member feedback