Recent Developments in Broker-Dealer Regulation Impacting Private Funds
July 09, 2013
London
Dechert LLP is pleased to offer legal and compliance professionals the opportunity to participate in an ongoing series of lunchtime workshops on US regulatory topics. These informal sessions will provide an overview of the applicable regulations for SEC-registered and unregistered advisers, practical tips for compliance and an opportunity to ask questions and participate in the discussion.
Recent Developments in Broker-Dealer Regulation Impacting Private Funds
Firms and individuals involved in marketing private fund shares in the United States must either be registered as a broker-dealer or be exempt from registration. This seminar will provide an overview of broker-dealer regulations impacting the sale of private funds in the United States, including available exemptions. In addition, we will focus on recent statements from SEC officials drawing attention to broker-dealer activities of private funds. We will also discuss recent SEC enforcement actions against firms marketing private funds in violation of US requirements.
Recent Developments in Broker-Dealer Regulation Impacting Private Funds
Firms and individuals involved in marketing private fund shares in the United States must either be registered as a broker-dealer or be exempt from registration. This seminar will provide an overview of broker-dealer regulations impacting the sale of private funds in the United States, including available exemptions. In addition, we will focus on recent statements from SEC officials drawing attention to broker-dealer activities of private funds. We will also discuss recent SEC enforcement actions against firms marketing private funds in violation of US requirements.
