Connecticut Professional Employer Organization Sponsors RIA Registration Seminar Presented by MarketCounsel
Stamford, CT, October 10, 2011 - With the success of the previous MarketCounsel RIA Registration Seminars, Ambrose will release the seminar in its Stamford, CT office. The seminar, “What Hedge Fund Managers Need To Know About RIA Registration,” will be conducted by MarketCounsel’s Director of Professional Services, Dan Bernstein, who will discuss the impact of the recent Dodd-Frank Wall Street Reform And Consumer Protection Act. As a business and regulatory compliance expert, Mr. Bernstein will detail the specific types of firms that will be affected by reform and the steps they will need to take to properly register as investment advisors with either the SEC or one or more state regulatory authorities. He will also discuss the role of the Chief Compliance Officer and the ongoing compliance requirements of Registered Investment Advisory firms. The seminar will be held at Ambrose's Connecticut Offices on October 19, 2011. For additional information on the agenda or to RSVP, please click here.