If you are an investment advisory firm located outside the United States, providing advisory services to any number of U.S. persons, (or using U.S. jurisdictional means to conduct your business), you will not want to miss this webinar, co-presented by MyComplianceOffice and Milne Legal on September 13, 2016 at 10 am EST / 4 p.m. CEST.
This webinar will focus on those non-U.S. advisory entities that are already registered, or should be, registered with the SEC. The webinar will address the jurisdictional reach of the Investment Advisers Act of 1940 (the “Advisers Act”) outside the United States and the SEC’s authority to enforce the U.S. regulatory requirements under the Advisers Act on non-U.S. entities. It will also focus on how non-US advisors can establish a robust compliance program and prepare for an SEC examination.
Milne Legal is a U.S. law firm, organised in Zurich, Switzerland, which provides legal advice to non-U.S. entities on both U.S. regulatory and U.S. tax matters.
MyComplianceOffice provides a powerful software solution that puts you in command of your compliance program, synchronizing your business needs with the demands of regulation in your sector. MCO seamlessly integrates with your existing processes to further reduce the complexity, the time and the cost. Enjoy the benefits of real-time oversight and the support of our dedicated service team who are with you every step of the way.