"Very useful conference which really helped to focus the mind on key issues"
"A valuable & pragmatic course providing useful insights and discussion"
• The SEC’s agenda for 2015
• MMF regulations
• Portfolio compliance
• Valuations, NAV and fees
• Enforcement cases / trends
• Credit Suisse case
• Failings and penalties for asset managers
• What are the regulators looking for?
• SEC requirements and limitations
• Marketing post AIFMD / MiFID
• JOBS Act
• Rule 506 'Bad Actor' requirements
SEC Regulation for Investment Advisors
Led by: ACA Compliance Group
• 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.
A Practical Approach to
SEC Regulation for
Workshop Leaders: ACA Compliance Group
4 November 2014, Central London
Download the workshop agenda here.
"Very useful comments and I got clarity on a number of issues"