Session 5a. IA – Understanding the Requirements of ADV Part 3

This session will review the obligations for Investments Advisers under Regulation Best Interest, the Commission Interpretation Regarding Standard of Conduct for Investment Advisers and Form CRS.

Learning Objectives:

  • Determine what is involved in the duty of Care
  • Understand the duty of Loyalty
  • Learn what the Form CRS must contain in part 3 of Form ADV
  • Receive clarification on policies, procedures and process updates needed