The RFG Expert Network Survey

Last week, RFG went live with our Expert Network Survey, intended to shed light on expert network practices within asset management firms.

Due to recent press, a number of these firms are reevaluating their current policies and monitoring systems with respect to insider trading and expert networks or research consultants that interact with portfolio management or trading personnel. Many of them are also interested in learning about what others advisers are considering.

If you’re one of these firms, you can click here to take it, or contact us to see the results.

Upcoming Event: How Dodd-Frank Impacts Private Funds

Loeb & Loeb LLP and The Regulatory Fundamentals Group LLC present

THE DODD-FRANK ACT: BE THE FIRST TO KNOW ITS IMPACT ON PRIVATE FUNDS    

NEW YORK | TUESDAY, JULY 19, 2011 
THE CORNELL CLUB | 6 East 44^th Street | New York, NY 10017 

8:00-8:30 AM Breakfast and registration 
8:30-10:30 AM Program and discussion

LOS ANGELES | WEDNESDAY, JULY 27, 2011

Loeb & Loeb LLP | 10100 Santa Monica Boulevard | Los Angeles, CA 90067

8:00-8:30 AM Breakfast and registration 

8:30-10:30 AM Program and discussion

On June 22, 2011, the SEC approved a series of rules related to the implementation of Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act which will impact both advisors and private funds. Specifically, the new rules include a $100 million statutory threshold for SEC registration by investment advisors to non-fund clients; require advisors to hedge funds and private equity funds managing more than $150 million in the US to register with the SEC; and provide an exemption from registration for advisors to venture capital funds, private funds managing less than $150 million in the US, and certain foreign private advisors. The new rules also create certain recordkeeping and reporting requirements.

In response, Loeb & Loeb has partnered with The Regulatory Fundamentals Group LLC (RFG) to discuss the implications of and guide first-time registrants to compliance with the new regulations. These rules will go into effect July 21, 2011, but funds and their advisors will not be required to register or claim an exemption from registration until March 30, 2012. We invite you to join us for a program that will help you navigate unfamiliar aspects of the rules and implement changes to your business ahead of this deadline to remain compliant.

This program will:
- Define and interpret key points of this final ruling
- Highlight concerns and uncertainties raised by the final rules
- Outline the SEC registration and exemption process
- Compare and contrast how the new rules will impact your existing business

This program will be presented by:
- Stephen H. Cohen, Partner, Loeb & Loeb LLP
- Deborah S. Prutzman, Chief Executive Officer, The Regulatory Fundamentals Group LLC

To register, please contact Jen Olson at jolson@loeb.com or 212.407.4183 and specify which program you plan to attend.

Does the current pace of regulatory change detract from your ability to properly operate your business?

Our Overview of the SEC Registration Landscape in Light of the Recent SEC Release

You’ve probably heard by now that yesterday’s SEC release exempts certain types of advisers from federal registration and reallocates the line between federal and state registration.

RFG has received many updates about the meeting, but we didn’t feel as if they had sufficiently addressed the overall impact of these developments in a comprehensible manner. That said, we’ve prepared the following memo to help you better understand the impact of yesterday’s meeting, which can also be found here.

We’ve gone live!

Our new website is now live!

The home page of www.regfg.com

Visit us at our new page  or contact us for more information.

Welcome!

Welcome to the blog of The Regulatory Fundamentals Group LLC.

What can you expect to see here? Aside from weekly updates and thoughtful pieces about new regulatory developments and trends, RFG will be keeping you up-to-date on what we’re doing and how we’re keeping you informed and current.

This week, we’re preparing not only for the SEC Sunshine Act Meeting, but also for the launch of our new website, which we’re extremely excited about. We thought you might like a sneak preview of what we’re about to go live with.

Our Banking Services Page

The Regulatory Fundamentals Group LLC provides banks, bank holding companies and foreign banks with operations in the US with business and regulatory advice. Not only that, but we provide litigation and transactional support to law firms, and deep expertise on funds transfer and securities clearing systems.

We’re proud to announce that we’ve now moved into the asset management space.

Since the enactment of the Dodd-Frank Act on July 21, 2010, an already overwhelming regulatory regime has become even more complex. To help asset managers and their legal and other advisors navigate this space, we’ve developed a range of products to provide them with simple, prioritized action plans.

A Sample of Our RediWatch™ Decision-Making Tool

Our subscription-based RediRegs™ index and RediWatch™ updates provide a comprehensive list of current legal requirements and timely updates on proposed and final regulations.

A list of regulations isn’t enough. While our RediRegs™ index lays the foundation for compliance, our RediWatch™ alerts cover new developments and trends and include a simple decision-making tool to determine the applicability of new and proposed regulations. Without flooding your inbox, we provide plain English, actionable steps for compliance, so that each member of an organization understands the implications for his or her area of responsibility.

Sign Up for Our Products

Our products, including our whole range of SEC registration products, will be available to our subscribers through our website. Since we understand that not everyone is technologically inclined, RFG’s team is always there when needed. We can help develop, build, and implement solutions tailored to individual needs, and are prepared to offer assistance through our products and our experienced senior legal team.

You are always welcome to contact us at Information@RegFG.com at any time for information on subscribing or any questions and comments you may have.