The passage of the Dodd-Frank Act will dramatically change the regulatory rules governing hedge fund and private equity managers and other alternative investment firms. Many hedge and private equity firms will be required to register with the SEC as an investment adviser, subjecting them to mandatory oversight by the SEC. Complying with the Dodd Frank Act goes beyond registering with the SEC; it is about making the right decisions for your firm in relation to resourcing and building your ongoing compliance program commensurate with your firm’s needs and with the SEC’s requirements. The attached webinar recording covers the following:
(1) Overview of legislation and how it impacts newly registering hedge fund and private equity firms.
(2) Steps your firm should be taking to prepare.
(3) Options for operating and resourcing your compliance program.