Fund Manager Registration Requirements
As we near closer to the deadline for fund managers to register with the SEC we are receiving a large number of requests for information on the registration timeline and process. As a result of those requests we have created the following presentation to help familiarize managers with the process of registering with the SEC.
The voice-over presentation is just over half an hour long and focuses on the following topics:
- Laws applicable to IA registration
- Discussion of which managers to register
- Discussion of who is exempt from registration
- Timeline for registering
- Discussion about implementing a compliance program
In order to keep the presentation to a reasonable time, we have focused on providing a high level overview of the requirements, the process and matters related to implementing a compliance program. During the presentation we make reference to a number of items which we have previously written articles about – we have included links to those articles below the video where the references appear.
It is important for managers to understand that the deadline for registration is coming soon. Although the final date to be registered with the SEC is March 30, 2012, the application (Form ADV) needs to be submitted through the IARD system by February 14, 2012. While we did not discuss specific issues which relate to private equity fund managers, these managers are required to register and have the same deadlines which are applicable to hedge fund managers.
We hope the following materials are helpful to managers who are going through this process and we welcome any questions or comments on the materials.
Cole-Frieman & Mallon LLP
IA Registration Presentation in PPT and PDF
Below is the presentation in PPT format (without the animations. A PDF of this presentation can also be downloaded directly: Cole-Frieman & Mallon IA Registration 2012
Voice-Over Presentation – 3 Parts
[Notes on the slides will be coming shortly.]
Cole-Frieman & Mallon LLP provides investment adviser registration & compliance services to hedge fund and private equity fund managers. Please contact us with any comments or questions. To reach Bart Mallon directly, please call 415-868-5345.