NRS Spring 2019 Compliance Conference

Join NRS at our Spring 2019 Compliance Conference where industry experts will address how investment adviser and broker-dealer firms can successfully navigate the disruptive currents of regulatory change and adapt procedures to compliance programs.


Form ADV Part 2: Identifying and Disclosing Conflicts

The Form ADV Part 2 is a “plain English” narrative approach to client disclosure. Investment Advisers are required to file their disclosure brochures electronically and the public has access to these brochures via the Investment Adviser Public Disclosure (IAPD) website. This course will examine the form’s 19 specific disclosure topics, including advisory business, fees and compensation, disciplinary events and brokerage practices. In addition, the course will delve into the mechanics of the Form ADV Part 2B, “brochure supplement,” requirement. An investment adviser representative résumé-like disclosure for each individual providing advice to a client.

Both SEC commissioners and staff continue to emphasize the importance of meaningful, clear and useful disclosure, as well as the need for advisers to avoid legalese and boilerplate disclosures. Lessons learned from prior filings of Form ADV Part 2 will be reviewed to gain further clarity into how to complete the narrative in ways that will withstand current SEC scrutiny. Disclosure on the adviser’s actual practices and conflicts, as well as on practices and conflicts reasonably likely to exist, will be reviewed to highlight material facts concerning conflicts and address the requirement of how the adviser deals with them.

The course will also address:

  • How to identify conflicts of interest within the framework of Part 2
  • Guidance for disclosing conflicts of interest, compensation arrangements, fee structures and soft dollars arrangements, among other conflicts
  • The growing implications of public access to the firm’s brochure on the Investment Adviser Public Disclosure (IAPD) website

Fidelity Inside Track Conference Series 2018

VENUE/DATE TBD

Inside Track events provide clients and prospects with actionable insights and networking opportunities to help grow and transform their businesses. The environment encourages and enables the exchange of ideas and best practices.


TD Ameritrade Elite Advisor Summit – Elite LINC 2018

TBD

TD Ameritrade's Elite Advisor Summit.  Formal invitation required.

Open to a select group of advisors who are best-in-class, gathering with peers to learn, inspire, network and collaborate.


Schwab IMPACT Conference 2018

VENUE TBD

IMPACT is an invitation-only industry conference where advisors come together with influential presenters, exhibitors, and subject-matter experts to learn about and collaborate on key issues and best practices. Every facet of the conference is designed to help attendees remain at the forefront of the industry.


Fidelity Inside Track Conference Series 2018

VENUE TBD

Inside Track events provide clients and prospects with actionable insights and networking opportunities to help grow and transform their businesses. The environment encourages and enables the exchange of ideas and best practices.


Fidelity Inside Track Conference Series 2018

VENUE TBD

Inside Track events provide clients and prospects with actionable insights and networking opportunities to help grow and transform their businesses. The environment encourages and enables the exchange of ideas and best practices.


Fidelity Inside Track Conference Series 2018

VENUE TBD

Inside Track events provide clients and prospects with actionable insights and networking opportunities to help grow and transform their businesses. The environment encourages and enables the exchange of ideas and best practices.


Fidelity Inside Track Conference Series 2018

VENUE TBD

Inside Track events provide clients and prospects with actionable insights and networking opportunities to help grow and transform their businesses. The environment encourages and enables the exchange of ideas and best practices.


Schwab EXPLORE Conference 2018

VENUE TBD

EXPLORE is an exclusive, high-profile forum for a select group of Schwab Advisor Services’ most valued clients.

Approximately 150 advisors are expected to attend. The small size of the forum creates an environment for attendees to think strategically and share best practices with like-minded colleagues, hear from high caliber speakers and network with Schwab senior management and peers, both socially and in a business sense.