+ 44 20 7408 2448
Another date added for 'SEC Registration Seminar: The Who, What and How' by SEC expert Peter Ambrosini
Following the success of its inaugural Dodd-Frank briefing, IMS is offering clients and friends of IMS another opportunity to hear its SEC compliance expert Peter Ambrosini talk on this subject in January, 2011.
Peter has more than 35 years experience in SEC regulation gained at the SEC where he managed the regulatory programs for the New England region, as the Director of the Regulatory Compliance and Consulting Group at Pricewaterhouse Coopers in Boston and as Senior Vice President and Global Chief Compliance Officer at State Street Global Advisors. Peter will support IMS in its work in the UK alongside its New York based consultants.
The Dodd-Frank Wall Street Reform and Consumer Protection Act finally arrived in July of 2010, bringing with it repercussions for huge numbers of financial services firms around the globe, including those already authorised and regulated by bodies in their own jurisdiction. Most significantly, the Act removes key exemptions from SEC registration. Non-US investment advisers with more than 14 US clients and US investors in private funds, or that manage US$ 25m or more of assets attributable to US clients and US investors in private funds, may now need to register with the SEC by July 2011.
IMS' second free breakfast seminar “SEC Registration: Who, What & How?” will be held at The Westbury Hotel in Mayfair on Thursday 13th November, 2011. The event continues our programme to assist clients achieve compliance and SEC registration by the mid-2011 deadline.
The seminar will cover:
- Dodd-Frank
>The scope of the amendments to SEC registration requirements
> What firms are impacted
- The process for obtaining SEC registration
> The steps a firm must take to become SEC compliant and obtain registration
> A timeline for successfully achieving the 21st July registration deadline
- What it means to be registered with the SEC
> Key implications for firms
> Tips on meeting and managing SEC expectations.
If you would like to speak to our consultants about SEC registration please contact Jade Cornell or Peter Moore on 020 7408 2448
