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

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

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
Last Recorded Date: Jul-2016

Training CD / USB Drive

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

Customer Care

Fax: +1-650-362-2367


Read Frequently Asked Questions

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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Refund Policy

Registrants may cancel up to two working days prior to the course start date and will receive a letter of credit to be used towards a future course up to one year from date of issuance. ComplianceOnline would process/provide refund if the Live Webinar has been cancelled. The attendee could choose between the recorded version of the webinar or refund for any cancelled webinar. Refunds will not be given to participants who do not show up for the webinar. On-Demand Recordings can be requested in exchange.

Webinar may be cancelled due to lack of enrolment or unavoidable factors. Registrants will be notified 24hours in advance if a cancellation occurs. Substitutions can happen any time.

If you have any concern about the content of the webinar and not satisfied please contact us at below email or by call mentioning your feedback for resolution of the matter.

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