Form ADV is a hot topic that everyone will be discussing in panels throughout the conference and during our exclusive workshops. Attend and hear directly from the SEC, industry experts and your peers on how to best approach the new challenges of Form ADV. In addition, every attendee receives a FREE ADV Part 2 Template designed to be the backbone of your narrative brochure.
Our Agenda presents current regulatory topics and the changing requirements that have resulted from numerous regulatory developments. Speakers will discuss Pay to Play, Dodd/Frank, Hedge Fund Registration and Wall Street Reform throughout the conference. Rules, including indirect compensation disclosures pursuant to DOL rules, investment company board expectations, and mutual fund sales commissions (we are not allowed to say "12b-1 fees" any more) will also be covered at this conference. Additional FinReg issues such as product development and sale (derivatives, swaps), the study of fiduciary duties for brokers and the registration of private (hedge) fund managers will be addressed. Register today and bring your questions directly to the experts.
The preconference workshop, Evaluating Risk on Form ADV, has been changed to address the SEC's adoption of the new Form ADV Part 2 and the disclosure requirements. Ascendant's experts will devote the entire 2 hour session to writing the new Form ADV Part 2 and discussing the risks conveyed to SEC staff and the public through such disclosures. Don't delay limited seats available!
As a member of the Southern California Compliance Group, Ascendant Compliance Management would like to extend to you special pricing of $1,095 to attend the 2010 Fall Conference September 26-28 in Washington D.C. In addition, the preconference workshop will be included at no charge. This $795 savings is designed to facilitate your attendance. To take advantage of this offer, you will need to call the number below. The offer is not available on-line.
We look forward to seeing you in Washington D.C. If you have any questions or to register please call: Roger Crain, Director of Client Services 860-435-2255
Please see website for additional information:
www.ascendantcompliance.com
