Click here to watch the video.

Form ADV update season is now upon us, and as many investment advisers work toward the quickly approaching filing deadline, they will also have to grapple with a regulatory environment that is putting even more pressure on conflicts disclosure.

In this Bottom Line videocast, Clifford Kirsch and Issa Hanna discuss:

  • the SEC’s intense scrutiny of conflicts disclosure
  • disclosure areas of focus for SEC examination and enforcement staff
  • the interplay between Form ADV Part 2A and Form CRS