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The Amended ADV Part 2 - What Compliance Professionals Need to Know about the Upcoming Changes



Content Partner:  National Society of Compliance Professionals
Price: $150.00*
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Description:

Discussion topics include:

  • What are the major differences between the Old Part II and the New Part 2?
  • Important Dates to Know to ensure compliance with the new rule.
  • What is “Plain English”?
  • The impact of public disclosure 
  • Practical Tips on How to Start Drafting the New Part 2

Presenters:

Timothy M. Simons, CFA, CPA, CFP®, CSCP, CIPM is a Partner at Ashland Partners & Company LLP, a U.S. based performance verification firm.  He is also the Senior Managing Director of Ashland Compliance Group LLC, a resource for CCOs with regard to SEC examinations and compliance with the Investment Advisers Act of 1940.  Immediately prior to joining Ashland Partners, Tim was a Chief Compliance Examiner with the Philadelphia District Office of the SEC from 1988 to 2000.  Tim received a Bachelor of Science degree in Engineering from Rutgers University (1968) and a Masters Degree in Business Administration from George Mason University (1987).  He holds the professional designations of: Chartered Financial Analyst (1998), Certified Financial Planner (1990), Certified Securities Compliance Professional (2007), Certificate in Investment Performance measurement (2007), and is licensed as a Certified Public Accountant (1992) in Pennsylvania.  Tim is a member of the Chartered Financial Analysts Institute, the CFA Society of Philadelphia (Director 2000-2003), the CFA Society of Memphis, the American Institute of Certified Public Accountants, the Tennessee Society of CPAs, the National Society of Compliance Professionals (Director 2004-2007), the Board of Governors for the CSCP designation, and the Financial Planning Association.  Tim is also a past member of the GIPS Interpretations Subcommittee (2004-2009) and the U.S. Investment Performance Committee (2005-2009).

Patricia E. Flynn is Chief Compliance Officer for INTECH. Prior to joining INTECH, Ms.
Flynn spent over 11 years with the SEC, initially as a securities compliance examiner and later as a branch chief and Assistant Regional Director for the Southeast Regional Office.  Prior to joining the Commission she worked in public accounting.  Ms. Flynn is a Certified Public Accountant and has a Bachelors degree in Accounting from the University of South Florida.  Ms. Flynn completed the NASD Institute-Wharton Certificate Program in 2002 and is a Certified Regulatory and Compliance Professional.  She is a Chairman of the NSCP Board and holds the CSCP designation.

Miriam Lefkowitz is the General Counsel of Shufro, Rose & Co., a dual-registered BD/IA that provides discretionary fee- and commission-based asset management in separately managed accounts to retail clients.  Miriam advises the firm on all aspects of securities regulation and compliance.  In addition to serving as General Counsel to Shufro, Miriam also advises other financial services firms and law firms on compliance, regulatory and legal matters.  Prior to joining Shufro, Miriam served as General Counsel/Chief Compliance Officer, and Member of the Board of Directors of J.B. Hanauer & Co., a full service, retail BD/IA, where she worked closely with all business units in the development and delivery of new financial products, services and client deliverables to ensure regulatory requirements were satisfied and appropriate resources were directed to implementing best practices and training sales force and supervisors.  Prior to going in-house, Miriam served as Senior Counsel in the Enforcement Division of the Securities & Exchange Commission and practiced law at a firm in Miami.  Miriam graduated from Columbia Law School and Columbia College.



Practice Areas: Corporate & Securities, Securities & SEC Regulation
Online Media Type: Audio
Production Date: 08/25/2010 1:00 PM EDT
Level: Intermediate
Category: Standard
Duration: 1 Hours, 15 Minutes
Online Format: Live

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Total Credits: 1.25
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Status: Reciprocal Credit Available
Expiration: N/A
Training Type: Online

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Speakers:
Timothy M. Simons - CFA, CPA, CFP, CSCP, CIPM, Partner, Ashland Partners & Company LLP
Patricia E. Flynn - Chief Compliance Officer, INTECH
Miriam Lefkowitz - General Counsel, Shufro, Rose & Co., LLC
This product is designed to provide information in regard to the subject matter covered. It is sold with the understanding that the publisher is not engaged in rendering legal, accounting, or other professional service. If legal advice or other expert assistance is required, the services of a competent professional person should be sought.


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