Dodd-Frank Readiness: An Investment Advisors Act Readiness Assessment Discussion

Thursday, Jan. 19th During Lunch 

Please join us for a regulatory round table discussion  during the lunch hour to discuss "What Private Equity and Intermediaries should know but where afraid to ask?" as well as other regulatory concerns and issues that you may have.

Here are a few examples of the questions that can be answered at this discussion

Investment Adviser Regulatory Issues/Questions

Registration Requirements

•             What are the exemptions?

•             I was previously exempt from registration as an investment adviser. Do I need to register now?

•             Do I need to register with the SEC or my home State?

•             What is the process and timing requirements?

Exempt Reporting Advisers

•             Do I qualify for any exemptions for registration with the SEC?

•             Do I still have filing and books and records requirements?

•             Am I subject to SEC examinations? What does that mean?

Compliance Requirements

•             What are my ongoing compliance requirements or issues if I am required to register?

•             Do I need written policies and procedures? What should they contain?

•             Are there advertising restrictions?

•             What are the costs?

 Intermediaries Issues/Questions 

Registration Requirements

•             Do I need a securities license to do M&A or other Investment Banking transactions?

•             How will it change my practice?

•             What does the process of becoming licensed entail?

•             How long does it take before I can be fully registered?

•             How do I know if I should open a broker-dealer or affiliate with one?

•             What should I look for in an affiliation?

Functional deal related questions

•             What if I co-broke a deal and the other party isn't licensed?

•             What if I want to refer to another company (Broker-Dealer or non-Broker-Dealer) can I take a   fee?

•             Can I earn a finder's fee once I'm licensed and not run it through the broker-dealer?

•             What are the risks of not being securities licensed and why has so much changed?

Are these questions you have? Make sure to meet Amy Cross from Still Point Capital and Bart McDonald and Louis Dempsey from Renaissance Regulatory Services at this round table discussion!
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