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NSCP Webinar | Be Prepared for 2020: Addressing the Demands of Year-End Compliance, Form ADV and NEW Form CRS

11.21.2019

As 2020 quickly approaches, firms need to fully prepare for what is to come in Q1. By Q4, compliance personnel should begin evaluating the status of ongoing compliance projects and considering any regulatory changes that took place over the course of the year. But the question is, have you started?

Presented by James Smith, Sr. Compliance Consultant, Core Compliance & Legal Services (“Core Compliance”); Robert R. Boeche, Esq., Senior Associate, Jacko Law Group, PC; and Dana Schmidt, Senior VP and Chief Compliance Officer, Jordan Park, this webinar is intended to prepare attendees for year-end and provide guidance on how best to tackle and complete your firm’s Form ADV and the new Form CRS filing.

Learning Objectives:

  • Learn how to formulate a comprehensive year-end compliance checklist
  • Receive guidance on the process of drafting and filing the Form ADV
  • Hear an overview of NEW form CRS and the five items included
  • Obtain resources on gathering and retaining required data quickly and efficiently
  • Benefit from tips on being prepared for regulatory compliance in 2020 and how to get started

Click here to register for the Webinar

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