Securities,
Mergers & Acquisitions
Sep. 30, 2020
Strategies for fund managers to avoid SEC pitfalls
Whether you are a first-time fund, exempt adviser or registered investment adviser, all funds must be mindful of implementing an organizational structure grounded in compliance.
Sara L. Terheggen
Founder and Managing Director
The NBD Group, Inc.
UC Berkeley Boalt Hall
The NBD Group, Inc., a leading legal and business solutions firm. Dr. T has advised on transactions with an aggregate value of more than $110 billion, including more than 20 IPOs, and she has been recognized close to 50 times for her professional expertise and leadership.
Whether you are a first-time fund, exempt adviser or registered investment adviser, all funds must be mindful of implementing an organizational structure grounded in compliance. This involves weaving together strong operational, technological, commercial and cultural elements, all of which have a foundation of compliance with SEC rules. Fund managers have many potential land mines to consider and proper adherence to structure and policy from ...
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