Investment Adviser Compliance Forum

Venue: Boston

Location: Boston, Massachusetts, United States

Event Date/Time: Nov 30, 2011 End Date/Time: Dec 01, 2011
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The Dodd-Frank Act makes significant changes to the existing legal framework affecting nearly every aspect of the financial services industry. This includes substantial changes for investment advisers, including numerous changes to the registration, reporting, and record keeping requirements of investment advisers.

The Securities and Exchange Commission (SEC) has proposed new rules to implement certain provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) requiring investment advisers to private funds, such as private equity funds, hedge funds and venture capital funds, to register with and/or report to the SEC for the first time, commencing in July of 2011, under the Investment Advisers Act of 1940 (Advisers Act).

Investment Advisers are concerned with the rollout of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”) regulations and the uncertain timeline for when regulations will go into affect. Attendees will gain understanding about key issues that will affect their business, such as Pay-to-Play rules, insider trading, new registration requirements and marketing and advertising as it relates to social media. Many regulations can be ambiguous as the SEC (Securities and Exchange Commission) leave much room for interpretation with many of their regulations.

This marcus evans conference will address new regulations mandating registration and outlining new disclosure requirements under the Investment Advisers Act of 1940 as a result of the passage of the Dodd-Frank Act. Registration exemptions that may be available for certain private fund managers; ongoing compliance, record keeping and reporting requirements that advisers will need to consider and the timeline for compliance.

This conference will focus on already registered firms who are looking for more guidance on regulations, best practices and to benchmark their compliance policies and procedures.