Presenter: Ron Rhoades
Educational Track: Technical Knowledge
CFP Board CE Credit: 1.0
Career Level: II
FPA Competencies: FPA Competencies: Sales & Marketing, Business Management
CFP Board Topic List: Client Trust and Communication
Cost: $35
Please Note: Registration for this event will end 15 minutes prior to the start. Seating is limited and entering the session late may cause problems with earning your CE credit, so please register early.
Type of Event
Streaming: Audio and visual presentation through your computer. This is a rebroadcast event, so no live Q&A will be available.
About the Program
The SECs new Form ADV Part 2 disclosures require much more than a mere re-ordering of your Form ADV narrative. Join us for an overview of the new filing, dissemination, and form requirements, with a particular emphasis on enhancing your conflict of interest and investment strategy disclosures.
You Will Learn About:
- Form ADV Filing and Distribution Requirements
- Conflicts of Interest Disclosures Frequently Overlooked
- Custodian/Affiliated Brokerage Disclosures
- Investment Strategy Disclosures and their Relationship to Your Due Diligence
- Sample Form ADV Part 2B Disclosures—Including Description of Designations
- Should You Formulate Your Own Part 2, Use a Consultant … or Both?
Sample language for Conflicts of Interest and Services/Fees Disclosures are provided!
Who Should Attend
This presentation will benefit Chief Compliance Officers, Compliance Managers, and CEOs of both BDs and RIAs, as well as all independent RIA firms seeking to ensure compliance with the new dictates. Whether dually registered or an independent RIA, and whether or not you choose to rely upon a securities law attorney or compliance consultant, Ron Rhoades reveals nuances of the new Form ADV Part 2 requirements frequently overlooked.
Our Speaker
Ron A. Rhoades, JD, CFP® is a prolific writer on issues involving financial planners’ fiduciary duties and professionalism. He serves as Chief Compliance Officer for an RIA firm with offices in Florida, New York, and North Carolina.
Ron serves as chair of NAPFA’s Industry Issues Committee. He also serves on the Board of Advisors to The Committee for the Fiduciary Standard. Ron has served as reporter for FPA’s Fiduciary Task Force and as a member of FPA’s Government Relations Committee. Ron is frequently quoted in the national media, and has spoken at various NASAA, CFP Board, and NAPFA national conferences on issues involving the fiduciary standard of conduct and the compliance requirements imposed on RIAs.
Ron Rhoades has written several books and hundreds of articles, and he is currently a columnist for RIABiz.com. His book, ScholarFi’s Annotated Form ADV Part 2, was published in January 2011.
