You are invited to attend the third in a series of interactive investment adviser compliance roundtables. This unique series is designed to bring compliance officers and others interested in adviser compliance issues in the Chicago metropolitan area together periodically to share information and discuss hot topics. The title of the Fall 2010 Roundtable is:
Compliance Challenges for Advisers in Light of New Form ADV Part 2 and the Dodd-Frank Act
On July 21, 2010, the Dodd-Frank Wall Street Reform and Consumer Protection Act was signed into law. On the same date, the Securities and Exchange Commission voted to radically revise Form ADV Part 2, formerly known as Part II. At the Fall 2010 Roundtable, a panel of experts will discuss: the new Form ADV Part 2; the most significant effects of the Dodd-Frank Wall Street Reform and Consumer Protection Act on investment advisers, particularly the registration requirement that will apply to most hedge fund and private equity fund managers; and other regulatory developments and compliance challenges. Our goal is to make this program as relevant and helpful to you as we possibly can.
Please help us to develop the most valuable program by letting us know of any additional topics you would like to see addressed when you reply with your RSVP.
The focus of the initial session of the Fall 2010 Roundtable will be on the new Form ADV Part 2.
Other topics to be addressed include:
- Adviser Registration and Exemptions from Registration;
- CFTC Registration Requirements;
- Trends from Recent SEC Examinations; and
- Hot Topics Selected by Attendees.
At the end of the Roundtable, a special session will be held for newly-registered or soon-to-be registered advisers.
This session will cover how to become registered and the transition from registered to unregistered status.
Registration and Breakfast
8:30 - 9:30 a.m.
Panel Discussion of Form ADV Part 2
9:30 – 10:15 a.m.
Interactive Roundtable Discussion
10:30 - 11:30 a.m.
Special Session for Newly-Registered or Soon-to-Be Registered Advisers
Michelle O’Connor (firstname.lastname@example.org) This is a free event. Seating is limited.
Sidley Austin LLP is an accredited provider of California, Illinois and New York CLE credit. For California CLE (as required): This program is pending 2.0 non-transitional professional practice credits and is appropriate only for experienced attorneys.