What it Means to be SEC Registered in the US: From Marketing to Managing Your Business
The US regulatory environment has undergone significant change in recent years, so much so that it can be hard to discern what the obligations and impacts are of running an SEC registered business for managers outside the US. The ability to access the US market more fully may be appealing, but at what cost?
On 5 March, AIMA will host a webinar to review the nuts and bolts of SEC registration in the US - What you must do as a registered investment adviser, what you can do to market your funds and services, and what to watch out for, including reporting and cross-border obligations.
Join us for a live discussion on this topic, where you are free to submit questions anonymously or directly for review.
Suzan Rose is a senior advisor to The Alternative Investment Management Association Limited (“AIMA”). As a consultant to AIMA’s Government and Regulatory Affairs group, she is responsible for developing industry education content to assist AIMA’s members on a broad range of compliance, legal, and operational topics.
Prior to this role, Ms. Rose was the Chief Compliance Officer of Marshall Wace North America L.P., joining the firm in 2004 to build and launch their US business. She was responsible for ensuring that the firm's activities satisfy all regulatory and legal requirements in the US and abroad. As part of a global team, Ms. Rose also worked on behalf of the firm’s affiliated investment advisers in London and Hong Kong to fulfill their respective US requirements.
With more than 25 years in the investment industry, Ms. Rose previously held a variety of senior compliance and management roles in the equity and fixed income areas of several prominent financial firms, such as Goldman Sachs, Credit Suisse, Citigroup, and Lehman Brothers.
Ms. Rose has a B.A. in Communications from Hofstra University, is a member of a number of industry groups, and lectures in the industry on regulatory topics. She also is actively involved with a number of nonprofits and is a member of the advisory board of Pencils of Promise, where she has spent the past seven years focused on providing a quality education to children in rural areas of Ghana, Guatemala and Laos.