06 Jun 2023, 9:00 am - 10:00 am | Asia
Following the success of our first webinar on this topic for UK audiences, we returned with a second session tailored to firms based in Asia.
Raising capital in the US for private funds is far from straightforward when it comes to regulation. A number of different regimes come into play, including the Investment Advisers Act, Securities Act of 1933 and FINRA regulations.
In this webinar, we were joined by our friends at law firm Snell & Wilmer to talk through the practical requirements and pitfalls for anyone based in Asia considering a move into the US market.
The session looked at:
- how fund managers are regulated in the US
- who is allowed to invest in a private fund in the US in comparison to Hong Kong and Singapore
- the restrictions around marketing to private fund investors through exempt offerings
- how fund managers can go about raising money within those limitations.
Speakers
Valerie Ruppel advises investment advisers and wealth managers on daily operational matters that need to comply with US regulatory requirements. She is an expert in regulatory filings, development and implementation of compliance policies and procedures, annual compliance reviews and regulatory mock exams.
Dominic Hulse
Dominic Hulse is a Partner at law firm Snell & Wilmer. He has nearly 20 years of international experience advising financial services and investment management clients on fund formations, corporate and securities matters, and derivatives transactions.
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