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Events

Speaking Engagement

Introduction to the Advisers Act: Framework, Registration, Exclusions and Exemptions; Exempt Reporting Advisers; Private Fund Advisers and More

Thursday, September 26, 2013 - Thursday, September 26, 2013
2:00 pm London - 3:00 pm London

NRS presents a webinar:

A key focal point of this session will be the recent SEC rulemaking initiatives to implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act that will include:

  • The $100 million asset under management threshold for SEC registration and the expanded breadth of state jurisdiction

  • Uniform calculation of regulatory AUM

  • Multi-state adviser exception

  • Pension consultant exception

  • Elimination of the “private adviser” exemption

The duty that the Act confers on advisers to reasonably supervise persons associated with the adviser will also be examined.

This session will also cover core provisions of the Act that define, among other things, who qualifies as an “investment adviser”, governs who must register as an investment adviser with the SEC and who is prohibited or exempted from registering and the SEC/state division of labor regarding the regulation of investment advisers. This session will cover Sections of the Act: 201-203A; 207-224 and related SEC rules.

Paul Hastings attorney Sasha Burstein is a featured speaker.

For additional information and to register, visit