Application for Investor Advisor Registration - ADV Part 1, Part 2A, Part 2B and More

Instructor: Lisa Marsden
Product ID: 704741
  • Duration: 60 Min

recorded version

1x Person - Unlimited viewing for 6 Months
(For multiple locations contact Customer Care)
Recorded Link and Ref. material will be available in My CO Section

Training CD

One CD is for usage in one location only.
(For multiple locations contact Customer Care)
CD and Ref. material will be shipped within 15 business days

Customer Care

Fax: +1-650-963-2556


Read Frequently Asked Questions

This training program will analyze ADV Part 1, ADV Part 2 A, ADV Part 2 B, and offer a breakdown of each section of the ADV. It will discuss annual filing requirements and offer best practices for reporting accurately.

Why Should You Attend:

Sections 203 and 204 of the Advisers Act authorize the United States Securities and Exchange Commission (SEC) to collect the information required by Form ADV. The SEC collects the information for regulatory purposes. Complying and maintaining accurate information needed for the form ADV Part 1 as well as Part 2 A and B is often a tedious task. This webinar will focus on how the data must be correct and consistent with other required documentation as well as the actual business practices of the advisor.

Learning Objectives:

  • ADV Part 1
  • ADV Part 2 A
  • ADV Part 2 B
  • Annual Filing Requirements
  • Other Than Annual Filings
  • Reporting Accurately

Areas Covered in the Webinar:

  • Collection of the required data
  • Maintaining accurate information
  • Distinguishing what information applies to which form ADV
  • When to submit an other than annual filing
  • Avoid key areas of non‐compliance
  • A breakdown of each section of the ADV

Who Will Benefit:

  • Registered Investment Advisors
  • Finance
  • Investment Management
  • Compliance Consultants
  • Audit and Compliance Personnel/Risk Managers
  • Operations Managers
  • Chief Operating Officers
  • Attorneys
  • Investment Management/Portfolio Managers/Research Analyst
  • Client Service Managers

Instructor Profile:

Lisa Marsden, IACCP ®, is the president and founder of Coulter Strategic Services.Coulter Strategic Services provides Financial Advisors and compliance consulting firms with compliance and project management services.

Prior to that, Ms. Marsden was in the C-Suite as a CTO, COO and CCO for Registered investment advisors in Florida.

Ms. Marsden has a degree in computer programming from Keiser University, and holds the Investment Advisor Certified Compliance Professional Designation (IACCP®).

Ms. Marsden also holds the Claritas ® Investment Certificate, issued through the CFA Institute.

She has held positions in the Banking Trust industry at Midlantic National Bank and Trust, Comerica Bank & Trust and Barnett Bank Asset Management.

Ms. Marsden currently serves on the Board of the Financial Planners Association of Greater Fort Lauderdale.

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