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Keynote Speakers

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Lisette Lopez

Compliance Consultant

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Sam Levine

Senior Vice President, Business Development

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Cynthia Kelly
Senior Compliance Consultant

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WEBINAR DETAILS  

Form ADV: Navigating Compliance Challenges in 2026

What You’ll Learn:

  • How AI, Reg SP, and the marketing rule are changing your Form ADV disclosures
  • Common ADV filing errors, including regulatory AUM miscalculations and client type misclassifications
  • The correct formula for calculating regulatory AUM and how it differs from assets under advisement (AUA)
  • Custody and private fund reporting pitfalls, including prompt amendment obligations
  • Key takeaways from the SEC's 2026 exam priorities and recent enforcement actions

Ensure Your Form ADV is SEC-Ready

Download this free guide to ensure your disclosures are consistent, compliant, and SEC-ready.

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