Are you Ready for It? Form ADV and CRS Amendment Tips and Important Disclosure Considerations
Join us as we hear from experienced industry professionals who discuss preparing Form ADV, Part 2A, CRS and 2Bs.
The panel will tackle topics covering Form ADV and CRS Amendment tips and important disclosure considerations.
Speakers
-
Melissa LonerExecutive Director and CEO, NSCPMelissa has over 26 years of experience in the Financial Services Industry. She has worked in a variety of positions including as a sales assistant, financial professional, and OSJ Designee. With a significant portion of her career in the home office of various independent firms working in due diligence, marketing, transitions, operations, supervision, compliance, and fiduciary services. She has recently made the jump into the association world and is currently the COO/Deputy Executive Director for the National Society of Compliance Professionals (NSCP). Her varying background gives her the experience to devote her time helping all kinds of audiences understand and navigate the complex world of compliance. Through education and guidance in the ever-changing regulatory environment she provides forward-thinking ideas and solutions to everyday issues. Melissa earned an MBA from American Military University, holds FINRA Series 4, 6, 7, 24, 53, 63, 65 license, and AIF® Designation. She is a previous Board Member and Board Chair of the NSCP. She is also a member of the Florida Securities Dealer & Advisors (FSDA), Florida Society of Association Executives, Inc. (FSAE) and American Society of Association Executives™ (ASAE).
Most of all she is a proud mother of her three children Garett, Elysa and Wyatte. When they are not keeping her and her husband Jason hopping, she loves to travel, learn about new cultures, and reading murder mystery or crime novels. Melissa is a coffee aficionado as well as a deep dive certified scuba diver. The Loner family currently reside in Florida with their dog Raven. She is thankful every day for her family (who keep her laughing and grounded). Life is short….take the time to enjoy it. -
Ariana MonchickManaging Director, Salus GRCAriana serves as a Managing Director at Salus GRC and has nearly 20 years of experience helping investment advisers navigate through regulatory compliance matters. Prior to moving to the consulting side of compliance in 2018, Ariana served as an Advisory Chief Compliance Officer at Cetera Financial Group, one of the largest families of independent registered investment advisers and broker-dealers in the United States, and served on the organization’s Risk Committee. She also served as Chief Compliance Officer for a mid-size retail and institutional registered investment adviser that utilized artificial intelligence as part of the investment management process. Ariana started her career in compliance at Avenue Capital Group, a global private equity firm and hedge fund. She specializes in compliance consulting services for retail wealth managers, institutional advisers, dual-registrants and hybrid and breakaway advisers.
Ariana formerly held the Series 7, 24, 53 and 66 licenses, as well as the Investment Adviser Certified Compliance Professional (IACCP) designation. She earned a Bachelor of Science in Finance from the University of Central Florida and attended Pace University School of Law. Ariana is based out of West Palm Beach, Florida and is a die-hard Miami Dolphins fan.
-
Miriam LefkowitzPrincipal, Miriam Lefkowitz, LLCSubject matter expert in securities compliance for retail/HNW focused broker-dealers and investment advisers
– Serve as consulting and testifying subject matter expert on securities compliance issues in broker dealer and investment adviser regulatory and civil matters in court cases, arbitrations, administrative law forums and in connection with settled actions
– Approved to serve as compliance consultant pursuant to undertaking in connection with SEC settlement
– Served as subject matter expert for multiple firms settling with SEC in matters relating to retail investors (for which the firms received cooperation credit in the ensuing settlements)
– Advise firms on practices to improve governance, particularly for dually registered broker-dealer/registered investment advisers
– Provide regulatory, compliance and legal advice, training and support directly to financial institutions (including independent contractor model, insurance- and bank-owned brokers, domestic and foreign advisers) and to law firms and vendors that support broker-dealers and investment advisers in connection with corporate changes, regulatory undertakings, compliance and supervision restructurings, new regulatory requirements, etc.
– Recipient of #NSCP’s 2024 JH Award for a strong commitment to excellence and distinguishing myself as a key figure in the compliance community