Our legal team is eager to address certain challenges independent broker dealers will face when it comes to managing risk in this new environment.
(PRWEB) September 16, 2013
FactRight LLC, a leading provider of risk management and third party due diligence services, will be hosting an open webinar discussing the Regulation D general solicitation and bad actor rule changes set to go into effect September 23, 2013. Specific attention will be given to the impact these changes will have on broker-dealers with regards to proper risk management.
“There’s no question that there is a lot of excitement surrounding the new rules but there is also plenty of uncertainty,” said Scott Smith, President and CEO. “Our legal team has thoroughly researched the matter and is eager to address certain challenges independent broker dealers will face when it comes to managing risk in this new environment.”
An overview of rule changes along with key risk implications will be provided by Vicki Lubben, JD, FactRight compliance consultant and outside counsel. In addition, FactRight’s VP of Operational Due Diligence Jessica Jeffries, JD, will be on hand to answer questions regarding potential due diligence procedural changes and ongoing best practices development. Please visit our website for full team bios.
The SEC Regulation D Amendments Briefing webinar will be held on September 18th at 3:00pm CDT. If you would like to participate, please click here to register.
This webinar is the first in FactRight’s Total Risk Management Webinar Series, which provides an industry-wide forum for discussing key alternative investment risk management and compliance-related challenges. For more information on upcoming events, please visit http://www.factright.com.