The Dodd-Frank Act ushers in a new era of regulation for non-US investment advisers. For non-US investment firms servicing US clients or accepting US investors in their managed funds, the new laws will make SEC registration the norm. Gone is the 14 US person exemption. Registration is now based primarily on assets under management.

Presenters from CompliGlobe Ltd. and Shearman & Sterling covered:

• SEC registration exemptions – what's new and what it means for you
• SEC registration process – introduction to SEC Form ADV and just adopted amendments
• Key US rules for SEC-registered firms – best execution and trading, advertising and marketing, codes of ethics, compliance programs, and more
• Recordkeeping and reporting rules
• SEC examinations – what the SEC is looking for, and why

Speakers:
Mark Berman, CEO, CompliGlobe Ltd.
Nathan Greene, Partner, Shearman & Sterling
Lorna X. Chen, Counsel, Shearman & Sterling