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Alternative Market Briefing

Other Voices - Ten key considerations for SEC registration

Monday, August 16, 2010

amb
William Mulligan
This article was authored by William Mulligan, CEO of HedgeOp Compliance, LLC:

With the signing of the Dodd-Frank Wall Street and Consumer Protection Act, fund advisors need to determine not only IF they are required to register but WHEN they are truly qualified. Fund advisors need to set in motion the proper processes in order to be compliant before they actually commence with registration. Register too early and your firm could be in violation of important Adviser's Act rules within a week and half of the SEC receiving your application ( The SEC works has 45 days to act on the application but it can happen at anytime within those 45 day - it could be three days, it could be 30 days).

Preparing for and being in compliance ahead of actual SEC registration can take up to two months - to think through and plan out your firm's compliance process, in particular: your compliance manual; the code of ethics; the rules; allow for training; and the creation of the ADV parts one and two (Form ADV Part 1 comprises Inputting online, information regarding your firm, including the firm's business practices, persons who own and control the firm, persons who provide investment advice on behalf of the firm, the firm's affiliates and the firm's regulatory disciplinary history. ADV Part II (Brochure) is Principal document that advisors must provide to clients and prospects and includes descriptions of qualifications,......................

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