Registration of Private Fund Managers - What to Expect and How to Prepare, Part II, Session 3: SEC Examinations

Legislation proposed by the Obama Administration and several members of Congress would require managers of such private investment vehicles as hedge funds, private equity funds and certain non-US domiciled funds that have more than a minimal number of US assets under management to register with the SEC under the Investment Advisers Act of 1940. Some related legislative proposals would require limited purpose registration of the investment vehicles themselves under the Investment Company Act of 1940.

  • What should private fund sponsors be doing now to prepare for these registration and compliance requirements?
  • What do private funds and managers need to do to develop and implement appropriate compliance procedures?

Whether you wish to gain an in-depth understanding of the processes and procedures that your fund will need to follow in order to ensure compliance with the Investment Advisers Act and other relevant laws, or you only need an overview of what's to come for private funds on the regulatory side, don't miss this opportunity to hear from experienced lawyers who understand the intricacies of this complex legislation.

Part II of this webinar is a trio of weekly one-hour presentations geared toward senior executives and those senior financial and compliance officers who will be in charge of implementing these new requirements and be responsible for day-to-day compliance.

The final session in the series takes place on December 3, 2009, and will cover SEC examinations and how to prepare for them, including:

  • The examination process
  • Preparing for the examination
    • Conducting risk assessments
    • Identifying conflicts of interest
    • Responding to SEC requests
    • Addressing problems
  • Responding to deficiency letters
  • Post-examination compliance

We encourage you to submit questions now to mdeandrea@mayerbrown.com if you would like them answered during the presentation.

Michael R. Butowsky
Michele L. Gibbons
Olga A. Loy

Thursday, December 3, 2009

6:00 p.m. - 7:00 p.m. CET
5:00 p.m. - 6:00 p.m. GMT

United States

12:00 p.m. - 1:00 p.m. EST
11:00 a.m. - 12:00 p.m. CST
9:00 a.m. - 10:00 a.m. PST

CLE credit is pending.

Webinar Access
Instructions for accessing the program will be sent prior to the event.

Register >>

For additional information, please contact Michelle DeAndrea at +1 312 701 8374 or mdeandrea@mayerbrown.com.

Learn more about Mayer Brown's Private Investment Fund practices.