2:26 PM
By: Stephen H. Bier, Aisha Hunt, and Jonathan R. Massey,
Dechert LLP*
So you are an investment adviser
registered with the Securities and Exchange Commission (“SEC”) under the
Investment Advisers Act of 1940, as amended (“Advisers Act”). You currently
manage separate accounts and, perhaps, one or more private funds, but you are
interested in getting into the registered fund business. As an SEC registered
adviser, you have already adopted compliance policies and procedures pursuant
to Rule 206(4)-7 of the Advisers Act and you are certainly eligible to advise a
registered investment company.1 So you’re good to go? . . . Not so fast.
To read the rest of this article
visit the Alternative Strategy Mutual Funds Forum event website.
Aisha Hunt, Partner, Financial
Services Group, Dechert LLP is one of the Alternative
Strategy Mutual Funds Forum esteemed speakers.
