Preparing the Form ADV Part 3/CRS – FREE Compliance Training Webinar

April 21, 2020

On Wednesday, April 22 at 12:00 PM CT, RIA Compliance Consultants will host a webinar entitled, “Preparing the Form ADV Part 3/CRS.” During this webinar, Bryan Hill, President of RIA Compliance Consultants, Inc., will be discussing how to prepare the Form ADV Part 3/Client Relationship Summary for investment adviser firms registered with the U.S. Securities and Exchange Commission. The webinar will be hosted on Zoom.com.

Click the following link to register for this webinar https://zoom.us/webinar/register/WN_CsHILWJHRQK8YZnrutpdow

From ADV Part 3 FAQs

To help investment advisers understand what will be required when preparing the Form ADV Part 3, RIA Compliance Consultants created a webpage, Form ADV Part 3 FAQs. The page features 25 questions with detailed answers about the requirements for the Form CRS Relationship Summary/ADV Part 3. Because the SEC is not extending the deadline for the ADV Part 3, we encourage all SEC registered investment advisers to view these FAQs.

To further assist investment advisers you can watch our recorded webinar “How the SEC’s Recent Approval of Form CRS/Form ADV Part 3 Affects Investment Advisers.” We made these resources freely available to help investment advisers understand the importance of the of the Form ADV Part 3/CRS.  We also invite you to read and continue to monitor our blog page where we will continue to provide investment advisers information about the Form CRS Relationship Summary/ADV Part 3. Click here to read our initial post providing investment advisers a brief summary about the new requirements for the Form CRS Relationship Summary/Form ADV Part 3.

Need More Help?

RIA Compliance Consultants can help your investment adviser firm prepare the Form ADV Part 3.

From April 1, 2020 to April 30, 2020, RIA Compliance Consultants is charging a fee of $695 for this Form ADV Part 3 Drafting & Filing Service. The fee will increase to $795 after May 1, 2020.

The deadline for an SEC registered investment adviser firm to file the Form ADV Part 3/CRS with the SEC via the IARD system is June 30, 2020. Additionally, an SEC registered investment adviser firm must also begin delivering the Form ADV Part 3/CRS to new and prospective clients and customers who are retail investors starting June 30, 2020. The deadline for delivering the Form ADV Part 3/CRS to existing investment advisory clients who are retail investors is July 30, 2020.

Our Form ADV Part 3 Drafting & Filing Service will be limited to investment adviser firms. RCC will not assist with drafting or reviewing any Client Relationship Summaries for broker-dealers.

Click here to purchase this Form ADV Part 3 Drafting & Filing Service.

Posted by Grant Parr
Labels: ADV Part 3, FREE