With the July effective date for the Dodd-Frank Act's investment adviser rules looming, the US Securities and Exchange Commission adopted its final implementing rules on June 22. Building on that breaking news, attorneys from Shearman & Sterling, together with former SEC lawyer Mark Berman, CEO of CompliGlobe Ltd., will present a global seminar series analyzing the requirements from a non-US perspective.
The seminar series will start on June 29 in London, followed by a webinar on July 7. Additional seminars are planned for Hong Kong and Singapore on July 18 and July 21.
Topics to be covered include:
- Exemptions and quasi exemptions that survive – or were added by – the rulemaking
- Latest implementation dates for the new rules
- How to structure "participating affiliate" arrangements
- Form ADV and the SEC registration process – full registration or exempt reporting advisers
- Key SEC expectations for newly registered investment advisers
- SEC enforcement trends
Dates and locations:
- June 29 seminar, 5-7 pm, Shearman & Sterling, 9 Appold Street, London
- July 7 webinar, 3-4 pm (London/Dublin), 4-5 pm (Paris/Berlin/Geneva/Zurich), 10-11 am (New York)
- July 18 seminar, Hong Kong – time and venue to be confirmed shortly
- July 21 seminar, Singapore – time and venue to be confirmed shortly
Click here to register at no charge for all or part of the "Global Seminar Series: Dodd-Frank for Non-US Investment Advisers"