Private Funds Nuts & Bolts: The Intersection of Capital Raising, Asset Management and Broker-Dealer Regulation

May 08, 2019

Accessing U.S. capital markets and U.S. investment opportunities is critical for many asset managers, both domestic and foreign, but it can also be fraught with existential risks. Private funds across every strategy and asset class need to be aware of U.S. legal and regulatory requirements associated with raising capital and managing assets. In this webinar, we will discuss the broker-dealer registration requirements of the Exchange Act and how they apply to capital raising and asset managers. We will also discuss the SEC exemptions from those requirements, and strategies for compliance with the requirements or reliance on the exemptions.



12:00 p.m. – 1:00 p.m. ET
5:00 p.m. – 6:00 p.m. GMT

This event will be simulcast as a webinar via ON24 


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