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Episode 2: Navigating the Investment Advisers Act
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Вміст надано Dave Rothschild. Весь вміст подкастів, включаючи епізоди, графіку та описи подкастів, завантажується та надається безпосередньо компанією Dave Rothschild або його партнером по платформі подкастів. Якщо ви вважаєте, що хтось використовує ваш захищений авторським правом твір без вашого дозволу, ви можете виконати процедуру, описану тут https://uk.player.fm/legal.
If you’re an aspiring fund manager looking to launch a fund, in this episode, we explain how to navigate the Investment Advisers Act and related state laws. We break down why you need to register as an investment adviser or claim a valid exemption from registration, how to determine which regulatory authority has jurisdiction over your business, and how to analyze their investment adviser regulations.
Key Points From This Episode:
- The regulatory definition of an investment adviser.
- Why you need to register as an investment advisor or claim a valid exemption from this.
- How to determine who has jurisdiction over your business.
- How to analyze what these regulations say and what exemptions may be available to you.
- The two most common forms of investment adviser exemptions: de minimis exemptions and private fund exemptions.
- Additional requirements for managers to 3(c)(1) funds.
- The filing you need to make if you qualify for a private fund exemption.
- The three main benefits of claiming an exemption or qualifying for an exemption and avoiding registration.
- Drawbacks of an exemption.
Disclaimer:
This show is for informational purposes only. Nothing presented here constitutes legal advice. Tokens of Wisdom is produced by Dave Rothschild, partner at Cole-Frieman & Mallon LLP headquartered in San Francisco, California. For any questions, please email tow@colefrieman.com.
Links Mentioned in Today’s Episode:
Music by Joe Ginsberg; IG: @thejoeginsberg
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