Investment Advisers Act Seminar
Wed, July 28, 2010TradeStation Prime Services is co-sponsoring a Sage Tree Seminars event designed to help private equity and hedge fund managers with more than $150 million in assets under management ($100 million if advising any separately managed accounts) to prepare for compliance with the recent amendments to the Investment Advisers Act. This unique, hands-on training seminar will be led by a distinguished panel of attorneys, compliance officers and former regulators.
Why This is Important
The recent Investment Advisers Act amendments affect the compliance obligations of private equity and hedge fund managers with more than $150 million in assets under management ($100 million if advising any separately managed accounts). Qualifying managers will learn about their obligation to register under the Investment Advisers Act, and how to draft and implement policies and procedures as provided in a compliance manual and appoint a chief compliance officer.
Who Should Attend
- CFOs and COOs of private equity and hedge fund managers
- In-house counsel and chief compliance officers
- Attorneys seeking to broaden legal practices
- Other service providers to fund managers
Key Topics Covered
- The key parts of the Investment Advisers Act that can affect your business
- How to register your company with the SEC
- The role of the chief compliance cfficer
- Ongoing compliance requirements
- A detailed and complete explanation of a compliance manual
When and Where
The seminar will be offered starting this Fall (2010) in the following cities:
- New York (Sept. 23)
- Chicago (Sept. 30)
- San Francisco ( Oct 5)
- LA ( Oct 7)
- Boston (Oct. 14)
- Greenwich (Oct. 21)
- Miami (Oct. 28)
- Dallas (Nov. 4)
- Washington D.C. (Nov. 11)
- New York (Nov. 18)