Davis Graham & Stubbs LLP is pleased to invite you to join us for the next installment of the Colorado Compliance Roundtable Breakfast Series. The series is open to all investment adviser compliance professionals and service providers. Each installment is designed to assist with a particular aspect of the evolving regulatory and business landscape.
This series offers a unique opportunity to exchange ideas, questions, and best practices with local compliance professionals, attorneys, and compliance consultants in an interactive, candid, small-group setting.
The Securities and Exchange Commission (SEC) adopted amendments in 2016 to Form ADV and to the books and records rule under the federal Investment Advisers Act of 1940. The amendments, among other things:
The amendments have a compliance date of October 1, 2017, and will be effective for most investment advisers for their annual update due in late March 2018. Even though the implementation deadline could seem a ways off, careful planning starting in 2017 can ease the transition.
Issues to be addressed include:
Our speakers for this program will include:
1550 17th Street Suite 500 Denver, CO 80202
Breakfast | 7:30 AM Program | 8:00-9:00 AM