In April 2018, the SEC attempted to tackle the Fiduciary debate with its proposed Standard of Conduct Proposal. The proposed new rule, 204-5, would require an investment adviser to deliver a relationship summary to each retail investor before or at the time the adviser enters into an investment advisory agreement, as well as, to existing clients one-time within a specified time period after the effective date of the proposed amendments.

Additionally, the SEC is proposing to amend Form ADV to add a new Part 3, requiring certain registered investment advisers to prepare and file a relationship summary for retail investors. This webinar will address the potential impact to the advisory industry, specifically to advisers of retail clients.

To help RIAs understand the compliance requirements that may loom ahead, TradePMR is partnering with Ascendant Compliance Management to present the following webinar:

The SEC’s Fiduciary Proposal – Form CRS Standards of Conduct Rule Proposal and How It Might Impact your Business

Thursday, June 28, 2018 at 4:00 PM ET

Keith Marks, Managing Director, Ascendant Compliance Management | Linkedin

Korrine Kohm, Director, Ascendant Compliance Management | Linkedin 

James Halvosa, Chief Compliance Officer, TradePMR, Inc. | Linkedin

Register now for this free, informative webinar and learn what the implications may be for you. The agenda includes:

  • A brief historical overview of the fiduciary rule
  • An overview of the proposed new rule – including use of “adviser” or “advisor”
  • What the new Form ADV Part 3 might entail – including conflicts of interest and care obligation disclosures
  • Implications for Registered Investment Advisers and representatives of Broker/Dealer entities

The SEC’s goal is to potentially improve retail investors’ understanding of their different options for investment-related services through better disclosure. Don’t miss this important webinar!

Trade-PMR, Inc., is a member FINRA/SIPC.  Trade-PMR and Ascendant Compliance Management are not affiliated.

Register now.

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