Pre Conference Workshop
Sunday, April 21, 2002


1:00 pm - 4:00 pm

Instructors:
Peter Mafteiu
Director of Investment Advisor Audit & State Services
NATIONAL REGULATORY SERVICES
Lakeville, Connecticut

“Getting Your Act Together - The Investment Advisers Act of 1940 – Clarified”

This workshop will incorporate a brief overview of the Advisers Act and will summarize the significant changes that started in 2001 and will continue to affect investment advisers. Included in the discussion will be:
  • the IARD (Investment Adviser Registration Depository),
  • the public disclosure component of the IARD for firms,
  • individual investment adviser representative processing and public disclosure,
  • the proposed New Part 2 of the ADV,
  • disclosure, in general,
  • advisory contracts,
  • advertising and marketing materials,
  • performance data,
  • the importance of compliance with the Advisers Act,
  • anti – fraud concerns,
  • and more.