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Past Event
19 November 2009

Registration of Private Fund Managers - What to Expect and How to Prepare, Part II, Session 2: Marketing

Registration of Private Fund Managers - What to Expect and How to Prepare, Part II, Session 2: Marketing

Thursday, November 19, 2009

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 November 19, 2009 webinar will cover marketing, advertising and private placement rules including:

  • Marketing and advertising content rules
  • Advertising record retention
  • Social networking and compliance
  • Use of solicitors and placement agents
  • Regulatory and investor initiatives regarding placement agents and pay-to-play Private placement procedures
  • Use of broker-dealers and broker advertising rules

The final session in the series will be held on December 3 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
    • How to address problems
  • Responding to deficiency letters
  • Post examination compliance

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

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

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