With regulatory implementation of the Dodd-Frank Wall Street Reform and
Consumer Financial Protection Act of 2010 well underway, it has never been
more critical for counsel and their corporate clients to have a deep
understanding of the implications of these regulatory changes on the banking,
securities, and financial services sectors. At Wolters Kluwer Law & Business,
we’ve created the Dodd-Frank Manual Series to identify the issues, explore the
topics, and dissect the “need-to-know” regulations.
Each volume in this new series, written by Wolters Kluwer Law & Business
Attorney-Editors, explains issues by Title of the Act providing a focused
discussion and analysis of specific topics that will expedite your research,
giving you the knowledge to confidently advise clients and ensure corporate
compliance.
This volume, Private Fund Advisers (Title IV), provides in-depth
analysis of the expansive impact of Title IV and the underlying regulations on
advisers to hedge funds and other private funds. New requirements include
registration with the SEC, recordkeeping and reporting obligations, state
regulation of mid-sized advisers, qualified client standards and net-worth
thresholds for accredited investors.
Foreword
Table of Contents
Explanation
-- Introduction
-- Definitions
-- Adviser Registration
-- Reports and Records
-- SEC-CFTC Rulemaking; Disclosure on Form PF
-- Family Offices
-- State Oversight of Mid-Sized Advisers
-- Custody of Client As
Appendix
-- Dodd-Frank Act Title IV
-- Regulations
Topical Index
