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November 5, 2019

NSCP Webinar | Be Prepared for 2020: Addressing the Demands of Year-End Compliance, Form ADV and NEW Form CRS

As 2020 quickly approaches, firms need to fully prepare for what is to come in Q1. By Q4, compliance personnel should begin evaluating the status of ongoing compliance projects and considering any regulatory changes that took place over the course of the year. But the question is, have you started? This webinar is intended to prepare attendees for year-end and provide guidance on how best to tackle and complete your firm’s Form ADV and the new Form CRS filing. Learning Objectives:
  • Learn how to formulate a comprehensive year-end compliance checklist
  • Receive guidance on the process of drafting and filing the Form ADV
  • Hear an overview of NEW form CRS and the five items included
  • Obtain resources on gathering and retaining required data quickly and efficiently
  • Benefit from tips on being prepared for regulatory compliance in 2020 and how to get started
Click here to register for the Webinar.

About the author

Michelle L. Jacko, Esq

Managing Partner and CEO

Michelle L. Jacko, Esq. is the Managing Partner and CEO of Jacko Law Group, PC (“JLG”), which offers securities, corporate, real estate, and employment law counsel to broker-dealers, investment advise...

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