2012 Webinar - Registration Process and Compliance Obligations for Advisers to Commodity Pools Registering with the CFTC
Registration Process and Compliance Obligations for Advisers to Commodity Pools Registering with the CFTC
Wednesday, October 3, 2012, 1:00 pm - 2:30 pm ET
Many advisers to funds that trade commodities, including swaps, must register with the CFTC and NFA as CPOs or CTAs by December 31, 2012. This webinar will walk advisers through the registration process, including how to identify “associated persons” and principals, examination requirements and potential exam waivers, and registration forms. This expert panel will also cover disclosure, reporting, and recordkeeping requirements for registered CPOs and CTAs, NFA regulations, required elements of compliance programs, regulation of marketing and advertising, and available exemptions from certain requirements. The panel will discuss CFTC and NFA guidance and tips for transitioning to the CFTC/NFA regulatory regime.
Cary J. Meer is a partner in K&L Gates' Washington, D.C. office and a member of the Investment Management practice group. She provides compliance advice to registered investment advisers and assists firms in registering as investment advisers, commodity pool operators and commodity trading advisors. She also structures and organizes private investment companies, including hedge and private equity funds and funds of funds. Ms. Meer received her B.S. degree, summa cum laude, from the University of Pennsylvania and her law degree, cum laude, from Harvard Law School. She presently serves on the Washington, D.C. Education Committee for 100 Women in Hedge Funds and on the Editorial Advisory Board Member for Money Manager's Compliance Guide.
Stephen A. McShea is the General Counsel and Chief Compliance Officer of Larch Lane Advisors LLC, a CFTC-registered CPO and SEC-registered investment adviser that specializes in early-stage investing through its fund of hedge fund platform and its hedge fund seeding platform. Mr. McShea manages and supervises all legal and regulatory operations of Larch Lane, including: structuring domestic and offshore private fund of funds offerings (including ERISA funds, bespoke funds and offerings with joint venture partners) and managing the funds’ ongoing compliance obligations; negotiating and structuring founder class and seed investments in start-up and early-stage hedge funds, joint venture and operative agreements for management entities of domestic and offshore funds, and credit facilities for domestic and offshore funds; content and operation of the firm’s compliance policies and procedures; and SEC and NFA filings. Mr. McShea is also an Adjunct Professor of Law at Fordham University School of Law, where he teaches a class on investment adviser and hedge fund regulation. Mr. McShea received a BA from Rutgers College and a JD/MBA from Boston College. He is licensed to practice law in New York and Massachusetts.
Karen L. Barr (Moderator) has served as General Counsel of the Investment Adviser Association since March 1997. From 1989 to 1997, Ms. Barr was in private practice at Wilmer, Cutler & Pickering, where she represented clients with respect to SEC investigations, securities class action litigation, internal corporate investigations, and regulatory matters. Ms. Barr received her B.A., magna cum laude, from the University of Pennsylvania and her law degree, cum laude, from the University of Michigan Law School. She is a frequent speaker on investment adviser law, regulation, and compliance.
Registration for this event closed. To purchase a recording of this webinar, please complete and return a webinar recording payment form. If you have any questions, please contact the IAA events team at IAAEvents@investmentadviser.org or (202) 293-4222.