Expanding into the U.S. market often requires firms to evaluate whether SEC registration is necessary. Understanding the distinction between Exempt Reporting Adviser (ERA) status and full registration as a Registered Investment Adviser (RIA) is key to making informed, compliant decisions.
Watch our on-demand webcast for a practical overview of SEC registration frameworks, including key triggers, ongoing obligations, and what firms should consider when establishing a U.S. regulatory footprint. Led by two former SEC staff members, the session will also explore the SEC examination process, helping firms understand what to expect and how to prepare.
Discussion Topics
- What are the key differences between ERA and RIA status, and how do firms determine which applies?
- What triggers SEC registration, including Assets Under Management (AUM) thresholds and available exemptions?
- What should firms expect from an SEC examination, and how can they prepare? How can firms build and maintain an effective compliance framework?
Speakers
- Abi Loughnane, Senior Principal Consultant, UK Regulatory Advisory, ACA GroupÂ
- Mike Beeson, Director, U.S. Regulatory Advisory and Head of London-Based SEC Desk, ACA GroupÂ
- Robert Baker, Managing Director and Co-Lead, SEC Mock Examinations Team, ACA GroupÂ