The Dodd-Frank Act both expands and contracts the potential universe of types of investment advisers subject to registration with the SEC under the Investment Advisers Act of 1940. The Registration Act requires all investment advisers with assets under management of $100 million or more to register with the SEC, subject to certain exemptions. The registration provisions of the Registration Act must be complied with on or after July 21, 2011.
Please join Mayer Brown partners Michael Butowsky, Mitch Gibbons and Olga Loy as they address the practical implications of the Dodd-Frank Act for private fund advisers and outline steps needed to be taken to operate as a registered investment adviser, including:
- Who is required to register
- What exemptions are available
- Timing of the registration process
- Culture of compliance and what it means for private fund advisers
- Additional provisions in the Dodd-Frank Act relevant to private fund investment adviser
Michael R. Butowsky
Michele L. Gibbons
Olga A. Loy
Presentation Slides (PDF)
Learn more about our Private Investment Funds, Financial Services Regulatory & Enforcement and Corporate & Securities practices.