The Consequences of Investment Adviser Registration with the SEC

TERRANCE O'MALLEY (Senior associate at the law firm of Davis Polk & Wardwell in New York.)

Journal of Investment Compliance

ISSN: 1528-5812

Publication date: 1 January 2000


This article takes a close look at the requirements of the 1940 Investment Advisors Act for both registered and unregistered investment advisors — such as hedge funds and private equity funds. It highlights the significant issues that arise from the regulation for unregistered funds that are considering the consequences of SEC registration. It also reviews briefly the requirements of the Act that are already applicable to unregistered investment advisors.


O'MALLEY, T. (2000), "The Consequences of Investment Adviser Registration with the SEC", Journal of Investment Compliance, Vol. 1 No. 1, pp. 47-54.

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Copyright © 2000, MCB UP Limited

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