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US Regulation for European Fund Managers

Examine how unfolding US legislation affects the business affairs of EU firms with US clients - or those firms doing business in the US
Hear from the SEC and FBI:
Jane Jarcho Associate Regional Director for Examinations U.S. SECURITIES & EXCHANGE COMMISSION
Kevin Mosley Trial Attorney, Asset Forfeiture & Money Laundering Section DEPARTMENT OF JUSTICE
David Chaves Securities Program Coordinator FEDERAL BUREAU OF INVESTIGATIONS
Patricia Cushing Director, Compliance NATIONAL FUTURES ASSOCIATION
Examine impact of US regulation on:
Examine the impact of US regulation on fund structures and routes to market, asset raising in the US, client on-boarding, trading activities, regulatory reporti
Pre-conference workshop:
A practical approach to SEC regulation for Investment Advisors, led by ACA Compliance, 4 November 2014, Central London
Reviews of recent Infoline events:
"Very useful conference which really helped to focus the mind on key issues"
James Easton
"A valuable & pragmatic course providing useful insights and discussion"
Eamonn Finnerty
SEC 2014/15 Initiatives / US Regulatory Hot Topics

• The SEC’s  agenda for 2015
• MMF regulations
• Portfolio compliance
• Valuations, NAV and fees

SEC Enforcement Trends

• Enforcement cases / trends
• Credit Suisse case
• Failings and penalties for asset managers
• What are the regulators looking for?

Marketing to US Investors

• SEC requirements and limitations
• Marketing post AIFMD / MiFID
• JOBS Act
• Rule 506 'Bad Actor' requirements

Pre-conference workshop

SEC Regulation for Investment Advisors
Led by: ACA Compliance Group

The 2014 Conference on US Regulation for European Fund Managers Brings Together Leading US Regulators with Regulated Firms

7 Key Benefits of Attending Infoline's US Regulation of EU Fund Managers Conference:

• SEC Hot Topics
• CFTC Regulation
• Focus on Senior Management
• Regulation of Money Market Funds
• Challenges of FATCA Compliance
• JOBS Act
• Rule 506 'Bad Actor' Requirements

A Timely Opportunity for European Fund Managers to Engage First Hand with US Regulators and Supervisors on Current Hot Topics including:

• What does it mean to be CFTC registered
• Swaps and EMIR reporting
• Reporting obligations
• US Focus on Financial Stability and the Future Role of Asset Managers
• Your SEC Compliance Obligations
• FATCA and client on-boarding
• The long reach of the Volcker rule
• Asset Raising in the US
• Setting up a US onshore fund structure, cost considerations
• Tailoring the fund to US investors or amending at a later stage

View the US Regulation for European Fund Managers conference latest agenda for more information.

Pre-conference Workshop:

A Practical Approach to
SEC Regulation for
Investment Advisors

Workshop Leaders: ACA Compliance Group

4 November 2014, Central London

Download the workshop agenda here.

You should attend this event if you are:

• CEOs/Managing Partners 
• General Counsel
• Compliance
• Operations Directors


• Investment Advisors
• Hedge Fund Managers
• Wealth Management Firms
• Family Offices
• Prime Brokers
• Exchanges
• Consultants & Legal Advisors

Testimonials from previous Infoline events:

  • "Very useful comments and I got clarity on a number of issues"
    Anil Idani

Download Latest Information Now

(updated 19 December 2014)

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