The Consequences of Investment Adviser Registration with the SEC
TERRANCE O'MALLEY
(Senior associate at the law firm of Davis Polk & Wardwell in New York.)
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Abstract
This article takes a close look at the requirements of the 1940 Investment Advisors Act for both registered and unregistered investment advisors — such as hedge funds and private equity funds. It highlights the significant issues that arise from the regulation for unregistered funds that are considering the consequences of SEC registration. It also reviews briefly the requirements of the Act that are already applicable to unregistered investment advisors.
Citation
O'MALLEY, T. (2000), "The Consequences of Investment Adviser Registration with the SEC", Journal of Investment Compliance, Vol. 1 No. 1, pp. 47-54. https://doi.org/10.1108/eb045870
Publisher
:MCB UP Ltd
Copyright © 2000, MCB UP Limited