March 2, 2021

Volume XI, Number 61

Investment Adviser Compliance Forum: Annual Form ADV Amendments and Related Regulatory Issue

Join Katten Financial Services attorneys Jack Governale, David Dickstein and Christian Hennion for a panel discussion on Investment Advisers Act issues to be considered as we enter the annual Form ADV amendment season. Session one will be held on Februrary 6th and session two will be held on Februrary 20th.

Katten Muchin Rosenman LLP
575 Madison Avenue
11th Floor
New York, NY


Session I - Portfolio Management Issues:

  • Compliance with investment guidelines and suitability
  • Side-by-side management, allocations and personal trading
  • Regulation M Rule 105
  • Proxy Voting

Session II - Trading Issues:

  • Best execution
  • Soft Dollars and Directed Brokerage
  • Principal Trades, Agency-Cross Trades and Cross Trades
  • Trade Errors