Bob Zink, CPA, Member of Arthur Bell, to Speak at KC’s SEC Examinations of Investment Advisers and Privately-Managed Funds for Compliance with the Federal Securities Laws
Bob Zink, CPA, Member of Arthur Bell, to Speak at KC’s SEC Examinations of Investment Advisers and Privately-Managed Funds for Compliance with the Federal Securities Laws Live Webcast
New York, NY, March 31, 2013 --(PR.com)-- The Knowledge Group/The Knowledge Congress Live Webcast Series, the leading producer of regulatory focused webcasts, has announced today that Bob Zink, CPA, Member-in-Charge of Arthur Bell’s Audit & Assurance Group, will speak at the Knowledge Congress’ webcast entitled: “SEC Examinations of Investment Advisers and Privately-Managed Funds for Compliance with the Federal Securities Laws.” This event is scheduled for July 26, 2013 from 12:00pm – 2:00pm (ET).
For further details, please visit: http://www.knowledgecongress.org/event_2013_SEC_Examinations.html
About Bob Zink
Bob joined Arthur Bell in October 1999 after seventeen years with Ernst & Young. As Member in charge of the Firm's Audit & Assurance Group, he coordinates and oversees the Firm’s delivery of audit and attestation services to hedge funds, commodity pools, investment advisers, commodity trading advisors, and broker-dealers.
Bob has over 25 years of experience providing audits, performance capsule examinations, SAS#70 examinations, and consulting on the formation and design of alternative investment entities for the financial services industry, including banks and insurance companies. With extensive SEC, GAAP and statutory reporting experience, Bob also serves as the Firm's Accounting and Auditing Technical Coordinator.
Bob earned his B.A. in Accounting from Loyola University Maryland. He is a member of the Managed Funds Association, the AICPA and the MACPA. Bob is licensed in Georgia, Illinois, Maryland, New Jersey, New York, and Wisconsin.
About Arthur Bell
Arthur Bell has focused on the hedge fund and managed futures industry since 1974, so clients can rely on our experience, client service and quality track record to keep them and their investors safe. Our services include audit & assurance, tax planning and compliance, performance analysis, investor representation, consulting, and family office services for hedge funds, commodity pools, funds of funds, advisers, broker-dealers, principals, high net worth individuals, trusts, and foundations.
Event Synopsis:
The Dodd-Frank Wall Street Reform and Consumer Protection Act eliminated the exemption from Securities and Exchange Commission (SEC) registration for investment advisers with fewer than fifteen clients, which previously had been widely relied upon by advisers to private funds, such as hedge funds, private equity funds and real estate funds. As a result, many such advisers had to register with the SEC as investment advisers for the first time.
While some provisions of the Investment Advisers Act of 1940 and related SEC rules apply to both registered and unregistered investment advisers, certain requirements apply only to those advisers that are registered. Accordingly, once registered, private fund advisers became subject to certain additional regulatory requirements.
An SEC exam can be an intimidating prospect for an investment adviser experiencing it for the first time. However, forethought, organization, and adherence to best practices in the ongoing conduct of one’s advisory business go a long way toward preparing a firm to present itself effectively to SEC examiners when they arrive.
The Knowledge Group has assembled a panel of key thought leaders and regulators to help financial executives and compliance officers to understand all the important issues with respect to this significant topic. They will offer effective strategies and best practices to prepare for, and pass the hurdles of, SEC examinations. A Live Q&A session is also included in this event.
About The Knowledge Group, LLC/The Knowledge Congress Live Webcast Series
The Knowledge Congress 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: www.knowledgecongress.org
For further details, please visit: http://www.knowledgecongress.org/event_2013_SEC_Examinations.html
About Bob Zink
Bob joined Arthur Bell in October 1999 after seventeen years with Ernst & Young. As Member in charge of the Firm's Audit & Assurance Group, he coordinates and oversees the Firm’s delivery of audit and attestation services to hedge funds, commodity pools, investment advisers, commodity trading advisors, and broker-dealers.
Bob has over 25 years of experience providing audits, performance capsule examinations, SAS#70 examinations, and consulting on the formation and design of alternative investment entities for the financial services industry, including banks and insurance companies. With extensive SEC, GAAP and statutory reporting experience, Bob also serves as the Firm's Accounting and Auditing Technical Coordinator.
Bob earned his B.A. in Accounting from Loyola University Maryland. He is a member of the Managed Funds Association, the AICPA and the MACPA. Bob is licensed in Georgia, Illinois, Maryland, New Jersey, New York, and Wisconsin.
About Arthur Bell
Arthur Bell has focused on the hedge fund and managed futures industry since 1974, so clients can rely on our experience, client service and quality track record to keep them and their investors safe. Our services include audit & assurance, tax planning and compliance, performance analysis, investor representation, consulting, and family office services for hedge funds, commodity pools, funds of funds, advisers, broker-dealers, principals, high net worth individuals, trusts, and foundations.
Event Synopsis:
The Dodd-Frank Wall Street Reform and Consumer Protection Act eliminated the exemption from Securities and Exchange Commission (SEC) registration for investment advisers with fewer than fifteen clients, which previously had been widely relied upon by advisers to private funds, such as hedge funds, private equity funds and real estate funds. As a result, many such advisers had to register with the SEC as investment advisers for the first time.
While some provisions of the Investment Advisers Act of 1940 and related SEC rules apply to both registered and unregistered investment advisers, certain requirements apply only to those advisers that are registered. Accordingly, once registered, private fund advisers became subject to certain additional regulatory requirements.
An SEC exam can be an intimidating prospect for an investment adviser experiencing it for the first time. However, forethought, organization, and adherence to best practices in the ongoing conduct of one’s advisory business go a long way toward preparing a firm to present itself effectively to SEC examiners when they arrive.
The Knowledge Group has assembled a panel of key thought leaders and regulators to help financial executives and compliance officers to understand all the important issues with respect to this significant topic. They will offer effective strategies and best practices to prepare for, and pass the hurdles of, SEC examinations. A Live Q&A session is also included in this event.
About The Knowledge Group, LLC/The Knowledge Congress Live Webcast Series
The Knowledge Congress 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: www.knowledgecongress.org
Contact
The Knowledge Congress
Thomas LaPointe, Jr., Executive Director
1.800.578.4370
www.knowledgecongress.org
Therese Lumbao, Director
Account Management & Member Services
tlumbao@knowledgecongress.org
Thomas LaPointe, Jr., Executive Director
1.800.578.4370
www.knowledgecongress.org
Therese Lumbao, Director
Account Management & Member Services
tlumbao@knowledgecongress.org
Contact
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