The Dodd-Frank Act has extended the registration requirements of the Investment Advisers Act to the advisers of private funds, such as hedge funds and private equity funds. These advisers must register with the SEC by March 30, 2012. McCarter & English has extensive experience advising clients in this area and presents this seminar to provide guidance on these registration requirements.
The seminar will provide a complete review of:
• Form ADV – the registration form for advisers
• ERAs – Exempt Reporting Advisers including Venture Capital Funds
• Family Office Exemption
• Compliance Requirements for RIAs
• Chief Compliance Officer Responsibilities
• State Registration Requirements
• SEC Enforcement Actions Involving Registration Issues
Monday, December 19, 2011
12:00 p.m. - 1:00 p.m.
Members of the panel are:
John R. Hewitt-McCarter & English, Partner, Editor and Author of the ALM treatise, Securities Practice and Electronic Technology, regulatory counsel to numerous private funds and frequent author and speaker in this area.
Thomas Kesoglou-McCarter & English, Partner and counsel to private equity funds in a variety of corporate transactions, including leveraged buyouts, mezzanine financings, early and late stage private equity and venture capital investments, secondary transactions and fund formations.
William M. Moran-McCarter & English, Partner, former New York ADA and counsel to banks, broker-dealers, investment advisors and hedge funds in securities related disputes and regulatory enforcement investigations and proceedings.
To register for this webinar, please contact Alison Smith at firstname.lastname@example.org or at 973.848.5395.
This non-transitional CLE seminar has been approved in accordance with the requirements of the New York and New Jersey Continuing Legal Education Board for a maximum of one credit hour in the professional practice category.