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Follow on Google News | Edward T. Dartley, Partner, Pepper Hamilton LLP to Speak at KC’s EventFor further details, please visit: http://theknowledgegroup.org/ About Edward T. Dartley Edward T. Dartley is a partner in the Funds Services and Financial Services Practice Groups of Pepper Hamilton LLP, resident in the New York office. Mr. Dartley concentrates his practice on all facets of the asset management industry, with particular focuses on the alternative investment asset classes, private equity and venture capital funds, and managed accounts, regulatory, compliance and operational matters compliance audits and internal governance, and family offices. He also has extensive experience advising clients in the direct lending (peer-to-peer) Mr. Dartley also focuses his practice on advising energy-focused alternative asset managers and companies on a wide variety of matters, and has worked with industry players in both the traditional and alternative energy industries. More recently, he has concentrated his practice on international regulatory matters, including Europe’s AIFMD regulatory scheme. With over a decade of experience as in-house counsel and chief compliance officer with an asset management group of registered investment advisers and private equity fund managers, Mr. Dartley has deep in-house experience and a unique perspective on how asset management works from the inside. Serving as outside general counsel to a number of clients, Mr. Dartley advises and guides managers on a diverse range of legal and business challenges faced by asset managers and other players in the financial services industry. In particular, he works with newly registered asset managers that are less familiar with the demands of the U.S. and international regulatory regimes, and that may not have the in-house legal or compliance expertise to meet the new regulatory challenges. About Pepper Hamilton LLP Pepper Hamilton LLP is a multi-practice law firm with more than 500 lawyers nationally. The firm provides corporate, litigation and regulatory legal services to leading businesses, governmental entities, nonprofit organizations and individuals throughout the nation and the world. Our Funds Services Group is composed of more than 50 lawyers from multiple and diverse practice areas. With judgment honed from representing hundreds of pooled investment vehicles over more than two decades, we have helped both U.S. and international funds and their sponsors, managers, advisers and investors define and achieve their goals. The investment industry has experienced unprecedented regulation in the past few years and it can be challenging to adapt to a new regime of transparency, accountability and enforcement. We consider it our responsibility not only to know the law but also to understand the investment management market – where the pendulum is and where it’s likely to swing. Event Synopsis: In July 2014, the SEC issued guidance regarding accredited investor status. Two of these relate to the calculation of income and assets to determine accredited investor status, and the remainder discuss verification methods under Rule 506(c) of Regulation D under the Securities Act of 1933. In general, the SEC continues to express a strict interpretation of its asset and income tests. The ‘safe harbor’ accredited investor verification methods permits an issuer to use general solicitation for a private offerings under Rule 506. In an hour live webcast, a panel of key thought leaders and professionals assembled by The Knowledge Group will provide the audience with an in depth analysis of the SEC Guidance on Determination and Verification of Accredited Investor Verification Status and its effect on broker-dealers and investment advisers. The panel will help the audience better understand the new guidance as applied to their business. Key topics include: § SEC Guidance on Accredited Investor Verification – An Overview § Rule 506 (c) of the Securities Act of 1933: Changes § Accredited Investor Verification § New Compliance & Disclosure Interpretations (C&DIs) § Reasonable Verification Requirements § Related to Income and Net Worth Calculations § ‘Safe Harbor’ Issues About The Knowledge Group, LLC/The Knowledge Congress Live Webcast Series The Knowledge Group was established with the mission to produce unbiased, objective, and educational live webinars that examine industry trends and regulatory changes from a variety of different perspectives. The goal is to deliver a unique multilevel analysis of an important issue affecting business in a highly focused format. To contact or register to an event, please visit: http://theknowledgegroup.org End
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