Jan 17, 2012 – Impact of Regulation on Client Reporting and Due Diligence
Infovest21 on Dec 12th 2011
New Regulatory Requirements
-overview of new filing requirements e.g. Revised Form ADV, Form PDF and large trader reporting Form 13H
-quantifying the regulatory burden
-handling the new reporting workload
-Audit for RIAs
-Use of custodians and meeting deadlines
Impact of Regulations/Trends in Investor Due Diligence
-soft dollars
-portfolio transparency
Impact of Regulations on Accounting and Audits
-valuation topics
-tax update
-client reporting
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