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

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

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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 - PowerPoint PPT Presentation

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

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

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

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

Keith WoodwellKeith WoodwellDivision DirectorDivision Director

Page 3: Investment Adviser Workshop: the New Form ADV Part 2, New Rules, and the IA Switch

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

Page 4: Investment Adviser Workshop: the New Form ADV Part 2, New Rules, and the IA Switch

Dave HermansenDave HermansenDirector of Licensing & ComplianceDirector of Licensing & Compliance

Page 5: Investment Adviser Workshop: the New Form ADV Part 2, New Rules, and the IA Switch

INTRODUCTION

Our RoleOur Role• State-Covered Advisers 159 State-Covered Advisers 159 (licensed in Utah as of FYE 2010)(licensed in Utah as of FYE 2010)

• Federal-Covered Advisers 74Federal-Covered Advisers 74 (domiciled in Utah as of FYE 2010)(domiciled in Utah as of FYE 2010)

• Expected fromExpected from IA Switch 75-100IA Switch 75-100• ResourcesResources• Staff Staff

Page 6: Investment Adviser Workshop: the New Form ADV Part 2, New Rules, and the IA Switch

INTRODUCTION

Workshop GoalsWorkshop Goals• Guidance on the New Form ADV Part 2Guidance on the New Form ADV Part 2

• New Content and OrganizationNew Content and Organization• Rewriting in Plain EnglishRewriting in Plain English• Creating PDF and Filing ElectronicallyCreating PDF and Filing Electronically• Narrative Format Pro’s and Con’sNarrative Format Pro’s and Con’s• Consider counsel or consultants for helpConsider counsel or consultants for help

• New State Rules & New SEC Custody RulesNew State Rules & New SEC Custody Rules• Preview of the IA SwitchPreview of the IA Switch

Page 7: Investment Adviser Workshop: the New Form ADV Part 2, New Rules, and the IA Switch

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


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