Investment Adviser Regulation offers a basic introduction to the regulation of funding advisers registered with the U.S. Securities & Exchange Commission (“SEC”). It has been developed for chief compliance officers, compliance administrators and different compliance personnel of funding advisers, which have been tasked with creating, implementing and/or overseeing their corporations’ compliance packages. It could function a basic “roadmap” for inexperienced or much less skilled compliance individuals and a evaluate of funding adviser regulation “basics” for skilled compliance individuals.
Investment Adviser Regulation offers an outline of the funding adviser regulatory panorama for the reason that efficient date of the Dodd–Frank Wall Street Reform and Consumer Protection Act of 2010 (the “Dodd-Frank Act”), together with the affect of the Dodd-Frank Act upon funding advisers to personal funding funds (corresponding to hedge funds and personal fairness funds).
Investment Adviser Regulation offers an outline of the funding adviser registration course of, together with an outline of the Investment Adviser Registration Depository “enablement” course of, the knowledge required by Parts 1 and a couple of of Form ADV (i.e., the first utility paperwork that an funding adviser is required to file with the SEC in reference to the registration course of), the SEC’s evaluate and approval course of with respect to submitted purposes, the supply necessities related to Part 2 of Form ADV and the replace necessities related to Parts 1 & 2 of Form ADV.
Topic lined on this e book embody:
•The affect of the Dodd-Frank Act on funding adviser regulation, together with an outline of funding adviser registration necessities.
•The parts of every of the next classes of funding adviser registration exemption / exclusion:
oThe “private fund adviser exemption”
oThe “venture capital fund adviser exemption”
oThe exclusion for “family offices”
oThe exclusion for “foreign private advisers”
•The funding adviser registration course of.
•The format and data required by every of Part 1 and a couple of of Form ADV.
•The SEC’s evaluate of and approval of funding adviser registration purposes.
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Continuing Compliance Education
Asset Management Regulation
Investment Advisor Regulation
Law and Practice