David Y. Dickstein, Partner, Katten Muchin Rosenman LLP to Speak at TKG’s Form ADV Reporting and Disclosure Amendments: Are You Ready for What Lies Ahead? Live Webcast
New York, NY, December 18, 2017 --(PR.com)-- The Knowledge Group/The Knowledge Congress Live Webcast Series, the leading producer of regulatory focused webcasts, has announced today that David Y. Dickstein, Partner, Katten Muchin Rosenman LLP will speak at the Knowledge Congress’ webcast entitled: “Form ADV Reporting and Disclosure Amendments: Are You Ready for What Lies Ahead? LIVE Webcast.” This event is scheduled for Thursday, January 18, 2018 @ 3:00 PM to 5:00 PM (ET).
For further details, please visit:
https://theknowledgegroup.org/event-homepage/?event_id=3292
About David Y. Dickstein
David Dickstein, a partner in Katten’s Financial Services practice, represents broker-dealers, investment advisers, investment companies and hedge funds in connection with a variety of regulatory, compliance and operational matters. David regularly counsels investment advisers on registration and regulatory matters, such as the need for registration, conflict of interest disclosures, soft dollars and best execution, firm advertising and marketing, federal and state pay-to-play matters, trade allocations and personal trading. He also advises broker-dealers on registration and ongoing compliance matters, mutual fund supermarkets on mutual fund distribution issues and brokerage and advisory firms on structuring and offering wrap fee programs and other financial products. In addition, David provides assistance in responding to Securities and Exchange Commission (SEC) investigations and examinations and in conducting compliance audits and regulatory reviews.
About Katten Muchin Rosenman LLP
Katten Muchin Rosenman LLP is a full-service law firm with more than 600 attorneys in locations across the United States and in London and Shanghai. Clients seeking sophisticated, high-value legal services turn to Katten for counsel locally, nationally and internationally. The firm’s core areas of practice include corporate, financial services, insolvency and restructuring, litigation, real estate, environmental, commercial finance, intellectual property, structured finance and securitization, and trusts and estates. Katten represents public and private companies in numerous industries, including a third of the Fortune 100, as well as a number of government and nonprofit organizations and individuals. Katten’s leading practices and attorneys have been recognized in Chambers & Partners guides, Best Lawyers in America®, U.S. News – Best Lawyers® “Best Law Firms” and The Legal 500, among others.
Event Synopsis:
Pursuant to the Form ADV reporting and disclosure amendments adopted last 2016, investment advisers are now held to submit new requirements in their upcoming registrations. The new rules, which included three key changes, specifically require investment advisers with additional information on Part 1A of Form ADV regarding their separately managed accounts (SMAs) and advisory business. Additionally, new disclosure obligations on related private fund advisers with a single advisory business (umbrella registrations) are also imposed.
With reporting and disclosure changes dawning for future registrations, it is imperative that investment advisers have a firm transition plan as early as now. Efficiently facilitating these new requirements can be of big help in such implementation.
In this live webcast, a panel of key thought leaders organized by The Knowledge Group will provide an overview of the new Form ADV reporting and disclosure requirements to help you understand its critical elements and the changes it will set forth. Speakers will also offer best practices in developing an efficient transition plan to facilitate implementation.
Key topics include:
- 2016 Form ADV Amendments
- Key Changes:
- Separately Managed Accounts
- Advisory Business
- Umbrella Registration
- Additional Disclosure Amendments
- Transition Guide
- What Lies Ahead
About The Knowledge Group/The Knowledge Congress Live Webcast Series
The Knowledge Congress was established with the mission to produce unbiased, objective, and educational live webinars that examine industry trends and regulatory changes from a variety of different perspectives. The goal is to deliver a unique multilevel analysis of an important issue affecting business in a highly focused format. To contact or register to an event, please visit: http://theknowledgegroup.org/
For further details, please visit:
https://theknowledgegroup.org/event-homepage/?event_id=3292
About David Y. Dickstein
David Dickstein, a partner in Katten’s Financial Services practice, represents broker-dealers, investment advisers, investment companies and hedge funds in connection with a variety of regulatory, compliance and operational matters. David regularly counsels investment advisers on registration and regulatory matters, such as the need for registration, conflict of interest disclosures, soft dollars and best execution, firm advertising and marketing, federal and state pay-to-play matters, trade allocations and personal trading. He also advises broker-dealers on registration and ongoing compliance matters, mutual fund supermarkets on mutual fund distribution issues and brokerage and advisory firms on structuring and offering wrap fee programs and other financial products. In addition, David provides assistance in responding to Securities and Exchange Commission (SEC) investigations and examinations and in conducting compliance audits and regulatory reviews.
About Katten Muchin Rosenman LLP
Katten Muchin Rosenman LLP is a full-service law firm with more than 600 attorneys in locations across the United States and in London and Shanghai. Clients seeking sophisticated, high-value legal services turn to Katten for counsel locally, nationally and internationally. The firm’s core areas of practice include corporate, financial services, insolvency and restructuring, litigation, real estate, environmental, commercial finance, intellectual property, structured finance and securitization, and trusts and estates. Katten represents public and private companies in numerous industries, including a third of the Fortune 100, as well as a number of government and nonprofit organizations and individuals. Katten’s leading practices and attorneys have been recognized in Chambers & Partners guides, Best Lawyers in America®, U.S. News – Best Lawyers® “Best Law Firms” and The Legal 500, among others.
Event Synopsis:
Pursuant to the Form ADV reporting and disclosure amendments adopted last 2016, investment advisers are now held to submit new requirements in their upcoming registrations. The new rules, which included three key changes, specifically require investment advisers with additional information on Part 1A of Form ADV regarding their separately managed accounts (SMAs) and advisory business. Additionally, new disclosure obligations on related private fund advisers with a single advisory business (umbrella registrations) are also imposed.
With reporting and disclosure changes dawning for future registrations, it is imperative that investment advisers have a firm transition plan as early as now. Efficiently facilitating these new requirements can be of big help in such implementation.
In this live webcast, a panel of key thought leaders organized by The Knowledge Group will provide an overview of the new Form ADV reporting and disclosure requirements to help you understand its critical elements and the changes it will set forth. Speakers will also offer best practices in developing an efficient transition plan to facilitate implementation.
Key topics include:
- 2016 Form ADV Amendments
- Key Changes:
- Separately Managed Accounts
- Advisory Business
- Umbrella Registration
- Additional Disclosure Amendments
- Transition Guide
- What Lies Ahead
About The Knowledge Group/The Knowledge Congress Live Webcast Series
The Knowledge Congress was established with the mission to produce unbiased, objective, and educational live webinars that examine industry trends and regulatory changes from a variety of different perspectives. The goal is to deliver a unique multilevel analysis of an important issue affecting business in a highly focused format. To contact or register to an event, please visit: http://theknowledgegroup.org/
Contact
The Knowledge Group
Thomas LaPointe, Jr., Executive Director
646-844-0200
www.theknowledgegroup.org
Therese Lumbao, Director
Account Management & Member Services
tlumbao@knowledgecongress.org
Thomas LaPointe, Jr., Executive Director
646-844-0200
www.theknowledgegroup.org
Therese Lumbao, Director
Account Management & Member Services
tlumbao@knowledgecongress.org
Contact
Categories