ACI Breakfast Seminar: Investment Advisor Registration and the Changing Regulatory Landscape for Hedge Funds and Advisors (November 10, 2010)
Nov 10, 2010 (8:30am) - ACI Breakfast Seminar: Investment Advisor Registration and the Changing Regulatory Landscape for Hedge Funds and Advisors - New York, NY
Registration Page
Powerpoint Presentation: Available Upon Request.
Breakfast Seminar: Investment Advisor Registration and the Changing Regulatory Landscape for Hedge Funds and Advisors
Join Dan Rome, Esq. of ACI and special guest David Konits for a complimentary breakfast seminar on Investment Advisor Registration and the Changing Regulatory Landscape for Hedge Funds and Advisors.
Seminar Discussion may include discussion of the following:
- Dodd Frank Wall St. Reform Act and increased transparency and accountability for the financial industry
- Investment Advisor Registration Requirements and changes to assets under management thresholds and exemptions
- Custody Audits and Surprise Custody Examinations
- Pay to Play Regulations
- Disclosure Requirements
- Dually Registered Companies (Broker Dealers, Investment Advisors, and Hedge Funds)
- Questions and Concerns from the audience
Wednesday, November 10, 2010
8:30am Breakfast/Networking
9:00am -10:30am Presentation/Questions
Registration is limited; we kindly that you RSVP only if you'll be able to attend and that you contact us in advance of the event if you registered but will no longer be able to attend so we can accommodate others.
Advance registration required for building access.
Who should attend?
Hedge Funds, Investment Advisors, Broker Dealers, Chief Compliance Officer, Chief Executive Officer, Chief Operations Officer
About ACI
ACI believes compliance with financial regulations should benefit your business by minimizing risk and promoting stability. To achieve this end, ACI develops customized compliance and accounting outsourcing programs for broker dealers, investment advisors, and hedge funds that are tailored to the firm's unique business risks. ACI assists our clients in achieving cost-effective business and regulatory models that will withstand the scrutiny of regulators and auditors. www.acisecure.com
