Inadvertent Investment Companies: How to Keep from Getting Burned

Inadvertent Investment Companies: How to Keep from Getting Burned

Wednesday, October 11, 2023
5:30 to 6:30 ET

The objective of this program is to provide a general overview of the Investment Company Act of 1940 ( the “ICA”), the objectives of the ICA and consequences for failure to qualify for an exclusion or exemption from registering under the ICA. The program will cover, among other things, the following: the rigid registration requirements of the ICA and post-registration obligations, strategies for avoiding registration through available exclusions and exemptions, such as those commonly known as the (i) Holding Company Exemption, (ii) Mortgage Exemption, (iii) Qualified Purchaser Exemption, (iv) 100 Holders’ Exemption, (v) Securitization Exemption and (vi) Temporary Exemption for “inadvertent investment companies.”

Panelists: Amy McDaniel Williams, Erick Carlson and Enyonam Enninful

To register or inquire: awilliams@HuntonAK.com

CLE: Hunton Andrews Kurth LLP will seek CLE credit for this program in CA, FL, GA, NC, NY, TX and VA only. Credit hours are not guaranteed and are subject to each state’s approval rules.