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Investment Adviser Workshop: the New Form ADV Part 2, New Rules, and the IA Switch

Investment Adviser Workshop: the New Form ADV Part 2, New Rules, and the IA Switch. Keith Woodwell Division Director. For more information, please call (801) 530-6600. Dave Hermansen Director of Licensing & Compliance. INTRODUCTION. Our Role. State-Covered Advisers 159

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Investment Adviser Workshop: the New Form ADV Part 2, New Rules, and the IA Switch

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  1. Investment Adviser Workshop:the New Form ADV Part 2, New Rules, and the IA Switch

  2. Keith Woodwell Division Director

  3. For more information, please call (801) 530-6600

  4. Dave Hermansen Director of Licensing & Compliance

  5. INTRODUCTION Our Role • State-Covered Advisers 159 • (licensed in Utah as of FYE 2010) • Federal-Covered Advisers 74 • (domiciled in Utah as of FYE 2010) • Expected fromIA Switch 75-100 • Resources • Staff

  6. INTRODUCTION Workshop Goals • Guidance on the New Form ADV Part 2 • New Content and Organization • Rewriting in Plain English • Creating PDF and Filing Electronically • Narrative Format Pro’s and Con’s • Consider counsel or consultants for help • New State Rules & New SEC Custody Rules • Preview of the IA Switch

  7. For more information, please call (801) 530-6600

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