Event 01 Oct. 2009

Breakfast Briefing: SEC Hedge Fund Registration Implications and 2009 Examination Focus Areas

On October 1, 2009, Curtis partner Victor Zimmermann co-hosted a two-part breakfast briefing with SEC Compliance Consultants founder Janaya Moscony. The free event took place at the Belle Haven Club in Greenwich, Conn.

The first part of the program addressed the U.S. Department of Treasury's proposed amendments to the Investment Advisers Act of 1940 and the significant impact those changes could have on advisers to private pools of capital such as hedge funds, venture capital funds, private equity funds, and other private pools including both U.S. and non-U.S. domiciled products.

The second session focused on the SEC's 2009 examination focus areas including, but not limited to, portfolio compliance, safekeeping of assets, marketing, and oversight of third party service providers. It was designed to assist CCOs and other compliance professionals in grappling with today's tough regulatory challenges.