These are the speaking notes from this session at PEI’s Private Fund Compliance Forum 2012. Panelists: Me Gerry Esposito, Managing Director, CFO & CCO Newbury Partners LLC Audience Polls Registered with the SEC as investment advisers? How many just registered in the last few months (been Dodd-Franked)? Also registered as broker-dealers? (We are not covering FINRA … Read more »
