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Conferences and Speeches

NRS 28th Annual Fall Investment Adviser and Broker-Dealer Compliance Conference

Wednesday, October 9, 2013 {ml-event-to} Friday, October 11, 2013
01:00 AM ET

Morgan Lewis partner Jennifer L. Klass will be part of the panel discussion at the NRS Investment Adviser and Broker Dealer Compliance Fall Conference.

The NRS Investment Adviser and Broker Dealer Compliance Fall Conference will explore what organizations need to do to develop the most effective compliance program and explore key topics including regulation, training, examinations, marketing, SEC Red Flag Rule and identity theft requirements, enterprise risk management, AML, FATCA and Tax Reporting, Due Diligence and ERISA. Full program details can be found here.

When:
October 9-11, 2013 | Conference

ADV Part 2 & beyond: Harmonizing your firm's disclosures
October 10, 2013 | 3:40 pm

Topics to be discussed:

  • Clarifying exactly what must be reported on the ADV Part 2 form and what shouldn't be
  • Identifying regulator focus items: What is the SEC looking for?
  • Outlining common deficiencies and mistakes
  • Non-ADV disclosure: Where is it? How much is enough?
  • Reviewing the form's 19 specific potential disclosure topics, including advisory business, fees and compensation, disciplinary events and brokerage practice

Where:
Four Seasons Hotel Las Vegas
3960 S Las Vegas Blvd.
Las Vegas, NV 89119