Contact Information
Erik A. Bergman
ebergman@fdh.com
T: (203) 325-5026
F: (203) 325-5001
Matthew S. Eisenberg
meisenberg@fdh.com
T: (203) 325-5084
F: (203) 325-5001
Harold B. Finn III
hfinn@fdh.com
T: (203) 325-5029
F: (203) 325-5001
Compliance Tools
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Dodd-Frank Decision Tree: Who Must Register with the SEC as an Investment Adviser?
Download PDF (40.97 K) -
Sample Timeline: SEC Registration and Development of Compliance Program
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For Private Equity Fund Managers, Hedge Fund Managers and Other New Registrants: Becoming an SEC-Registered Investment Adviser
Download PDF (34.16 K)