Lavelle Law Hosts Free Zoom Conferences for Investment Advisors
Schaumburg-based Lavelle Law announced plans for an Investment Adviser Annual Requirements Check-Up Day on January 20, wherein Securities Law attorney Samantha Bonamassa will host free, 30-minute Zoom conferences with investment advisors.
The Advisers Act requires SEC-registered investment advisors to review their written policies and procedures each year to determine their adequacy and to ensure they are implemented effectively.
"The SEC has consistently cited investment advisers' failure to conduct an annual review as a compliance issue," said Bonamassa. "A failure to conduct this annual review can result in hefty fines and penalties for financial advisors, so it's essential to understand the requirements around firms' Form ADV filings."
Advisors can sign up for a free, 30-minute video conference with Bonamassa to discuss FAQs as well as ask any specific questions related to the annual review requirement. Bonamassa will share the most frequent errors and inconsistencies on Form ADV filings, due dates, the cost of non-compliance as well as how Lavelle Law can be of service during the process.
The Investment Adviser Annual Requirements Check-Up Day event comes roughly one month after a successful Zoom advisory event hosted by the firm on Cybersecurity practices for small businesses. The one-day conference was so popular, it was extended to a weeklong event.
"It is our responsibility as attorneys to share our legal expertise with the community," said Managing Partner Ted McGinn. "Normally, we host a series of free events and seminars throughout the year for individuals and businesses. But with the social distancing requirements of the COVID-19 pandemic, we've pivoted to this online format."
To schedule a free Zoom video conference on January 20, contact Erin Bowers at ebowers@lavellelaw.com. To learn more about the event, visit www.lavellelaw.com/investment-adviser-annual-requirements-check-up-day.
Lavelle Law's main office is in Schaumburg and maintains an additional office in the Chicago Loop. The firm was founded in 1989 as a single attorney practice with an emphasis on tax law. The firm has added more than a dozen practice groups including Estate Planning, Business Law, Banking Law, Cybersecurity and Data Privacy, Litigation, Criminal, Immigration, Divorce and Family Law, Commercial and Residential Real Estate and Law Practice Consulting. The firm has received numerous awards and commendations for their business success, their commitment to ethics, national recognition for their pro bono services, and multiple acknowledgements of the charitable work they do in the local communities. For more information, visit www.lavellelaw.com or follow Lavelle Law on Twitter, Facebook and LinkedIn.