Expanding into the U.S. market means navigating the requirements of SEC Rule 15a‑6, which governs how foreign broker‑dealers and non‑U.S. asset managers may interact with U.S. investors. Many activities require oversight from a U.S.‑registered broker‑dealer, creating operational and compliance hurdles that can slow market entry.
Join us for a concise, practical overview of how firms can compliantly access U.S. institutional investors and streamline their U.S. distribution strategy.
Discussion Topics
- What is the typical client profile and which non-U.S. entities can benefit from the Rule 15a-6 exemption?
- What does the broker-dealer chaperoning engagement solve for and what are its limitations?
- What are the substantive compliance obligations for non-U.S. entities once they engage a FINRA-registered chaperoning broker-dealer?
Speakers
- Benjamin Schuster, Director, ACA Foreside
- Joseph Higgins, Lead BU Sales Specialist, ACA Foreside
Now Available On Demand
