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Broker-Dealer Registration Issues for Investment Advisers
Broker-Dealer Registration Issues for Investment Advisers
 

February 20, 2014

Division
Investment Adviser

Speaker: Dan Campbell, Senior Principal Consultant, ACA Compliance Group
Speaker: Anthony Perez, Principal Consultant, ACA Compliance Group
Speaker: Hillel Cohn, Partner, Morrison & Foerster LLP


Webcast Discussion Includes:

  • Payment of transaction-based compensation by private fund managers
  • Transaction fees earned by private equity investment managers
  • SEC guidance and enforcement cases relating to unregistered broker-dealers
  • Potential exemptions from broker-dealer registration