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What is one example of a document used to disclose conflicts in side-by-side trading?

Form 10-K

Form ADV, Part 2A

Form ADV, Part 2A is specifically designed for investment advisers and includes information that helps disclose potential conflicts of interest, including those that may arise from side-by-side trading. This form is a crucial part of the regulatory framework for investment advisers, as it provides investors with vital information about investment strategies, fees, and potential conflicts the adviser may encounter while managing different types of accounts or strategies simultaneously.

The primary goal of Form ADV, Part 2A is to ensure transparency and inform clients about how their adviser operates, including the handling of situations where the adviser may have competing interests. The disclosures in this document enable clients to make well-informed investment decisions and understand the potential risks associated with side-by-side trading situations.

The other options, while important in their contexts, do not serve the same function as Form ADV, Part 2A when it comes to disclosing conflicts of interest in the context of investment advisory services. For example, Form 10-K is an annual report that provides a comprehensive overview of a publicly traded company’s financial performance, Form 8-K is used to report unscheduled material events or corporate changes, and Form 13F is a quarterly report filed by institutional investment managers that details their equity holdings. None of these forms are focused

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Form 8-K

Form 13F

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