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| Friday, 20 August 2010, 12:45 HKT/SGT | |
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Source: CompliGlobe | |
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HONG KONG, Aug 20, 2010 - (ACN Newswire) - The Dodd-Frank Act ushers in a new era of regulation for non-US investment advisers. For non-US investment firms servicing US clients or accepting US investors in their managed funds, the new laws will make SEC registration the norm. Gone is the 14 US person exemption. Registration is now based primarily on assets under management.
CompliGlobe Ltd and Shearman & Sterling LLP are hosting a seminar in Hong Kong on Sept 2 and Singapore on Sept 6 to help you and your firm with the coming wave of new rules. Presenters will cover:
- SEC registration exemptions - what's new and what it means for you
- SEC registration process - introduction to SEC Form ADV and just adopted amendments
- Key US rules for SEC-registered firms - best execution and trading, advertising and marketing, code of ethics, compliance programs, and more Recordkeeping and reporting rules
- SEC examinations - what the SEC is looking for, and why
Speakers
- Mark Berman, CEO, CompliGlobe Ltd.
- Nathan Greene, Partner, Shearman & Sterling LLP
- Lorna X. Chen, Counsel, Shearman & Sterling LLT
Details
Hong Kong - 2 Sept 2010, 5.30 pm - 7.00 pm (venue to be announced shortly)
Singapore - 6 Sept 2010, 5.30 pm - 7.00 pm (venue to be announced shortly)
For more information, and to register, please visit: http://us1.campaign-archive.com/?u=c03cfb08031b95784f0e9cee2&id=7f894f3245&e=cd91a60a8e
Contact:
Mark Berman, CEO
CompliGlobe Ltd.
berman@Compliglobe.com
+44 208 458 0152
Topic: Trade Show or Conference
Source: CompliGlobe
Sectors: Daily Finance
http://www.acnnewswire.com
From the Asia Corporate News Network
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