Regulatory Compliance Association Reviews

Proposed New Portfolio Reports for SEC-Registered Investment Advisers and Investment Companies™

Practice Edge 02

Date: July 29, 2015
General Session: 12 Noon to 1:30 PM EST
Location: Webcast (Free)

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In the wake of the financial crisis, the US Securities and Exchange Commission adopted detailed data reporting rules for private funds on both Form ADV (2010) and Form PF (2011). In a continuing push to gather more asset management industry data, the agency now wants portfolio-level reports on investment adviser separate accounts and much expanded reporting by registered investment companies (RICs). This course will explore these latest SEC proposals.

Students will master the following at the conclusion of this session:

  • Identify proposed content & frequency of reporting for the new Form ADV provisions
  • Recognize proposed content & frequency of reporting for the new Form N-PORT & Form N-CEN (for registered investment companies)
  • Assess financial reporting & operational challenges associated with the new reports
  • Compare the proposals to similar initiatives on the table from global financial regulators
  • Assess the likely compliance timeline for the new reports

Session Chairman:

Walter Zebrowski, JD, CPA, Principal, Hedgemony Partners
Chairman, Regulatory Compliance Association

Senior Fellow from Practice:

Nathan Greene, JD, Investment Funds Partner, Shearman & Sterling

Guest Lecturers:

Lawrence Block JD, Chief Compliance Officer, Island Capital
Cynthia Marian, JD, LLM, General Counsel & Chief Compliance Officer, Civic Capital Advisors
Karrie McMillan JD, Managing Director, Patomak Global Partners
John Sampson, Executive Director, Ernst & Young
Steven Yadegari, JD, Chief Operating Officer & General Counsel, Cramer Rosenthal McGlynn

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