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Dodd-Frank: The Global Implications for the Private Fund Industry

Thursday, May 12th, 2011
11AM ET/8AM PT

The Dodd-Frank Wall Street Reform and Consumer Protection Act signed July 2010, has direct implications for the private fund industry globally. Although a senior official at the SEC has indicated that the compliance date may be delayed until first quarter 2012, the yet-to-be-proposed rules are expected to clarify which private funds may be eligible for exemption from the registration requirement. Join Jonathan Wilson of IMS Group and Elizabeth Cope of Focus One as they discuss these implications and provide practical guidance to ensure that your firm is prepared.

Topics include:

  • Who will be required to register
  • Compliance dates (what we know and what we expect)
  • Steps to becoming compliant and staying compliant
  • Implications of Dodd-Frank for non-US managers and advisers

Speakers
 
Elizabeth L. Cope
CPA, CSCP, CIPM
Managing Member
FOCUS 1     

Jonathan Wilson
Director, Project Consulting
IMS Group 

FOCUS 1 is an SEC compliance consulting firm that assists investment firms with their compliance needs under Rule 206(4)-7, including Mock SEC examinations and third-party compliance reviews.
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The IMS Group is a market leading provider of regulatory compliance consulting and integrated business support to the asset management and securities industry. 
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