Recent Panel on Financial Reform Addresses Legal and Regulatory Implications of Dodd-Frank Act

30. Aug, 2010 Comments Off

The IPA hosted a Financial Reform Discussion webinar on Thursday, August 19, 2010. Panelists included Deborah Froling, Partner of Arent Fox LLP; Richard Paley, General Counsel and Chief Compliance Officer of Carey Financial, LLC; Michael Choate, Shareholder of Shefsky & Froelich; and David Baum, Partner of Alston & Bird LLP. The call was moderated by Martin Hewitt, Counsel of Alston & Bird LLP

Click on the link below to hear what our panelists shared in an engaging discussion of:

Private Offering Considerations
Accredited Investor definition changes
“Bad Actor” disqualification
Advisor Considerations
Federal vs. State regulations
Adviser/Broker Dealer Fiduciary Duty
Advisor Registration Rule Interpretation
Changes to the Investment Advisers Act of 1940
Sarbanes-Oxley Section 404 (b) Exemption

Audio & Video, Webinars

IPA 2010 Fall Conference

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