Saturday, July 16, 2011

SEC PART 270 & 275 - Investment Management Companies & Advisers

Investment Management Companies and Investment Advisors find their initial coverage in SEC Rules in the Rules under Part 270 and Part 275 that deal with the SEC Acts 40 Investment Companies and Investment Advisers Acts. A significant portion of my Corporate Experience involved working for Investment Companies that also had Investment Advisers On Board. Not everyone knows this, but the fact is that Insurance Companies generally have their own Investment Management units that work hard to Invest Premiums to make returns that will be sufficient to pay future claims as forecasted by Actuaries, so in my first role in the Insurance Industry I was immediately connected to Asset Management (aka Investment Management) through learning as a Fortune 500 Auditor working on Operational and Financial Audit support for Coopers & Lybrand (now PWC).

A subsequent role in Deutsche Asset Management's Morgan Grenfell in the late 90s brought me further into the fold as we had both Separately Managed Equity and Debt Funds and Mutual Funds that were invested in different investment strategies and countries. This role was a great role where I served as the right hand to a Controller who allowed me to grow to manage the annual KPMG Audits in large part, report to London, UK on a monthly basis and handle the Frankfurt based Parent Co. follow up as needed and at the Quarters. In this role I had key responsibilities for the Revenues and Payables cycles including the key T&E part where you get to understand how the business is run by observing where the money was spent on Business generation and Sales activities. I have a broad understanding of the Investment Management Industry from a number of roles and this knowledge makes us particularly strong business partners for related Financial Services Businesses when added to subsequent roles that built out on this experience. I have experience with Industry Leaders, Business Leaders, Attorneys, Regulators and much more from these roles and a ready to go base of expertise for Consulting here with full knowledge of resources.

For the SEC Part 270 Investment Companies Act and related Part 274 Investment Companies Forms and Part 275 Investment Advisers Act and related Part 279 Investment Advisers Forms as well as other related regulations and Tax Elements specific to Investment Companies and Advisers - we are here to assist. Investment Companies and Advisers are regulated by the SEC and the State with current Dodd-Franks Legislation moving much of this responsibility to the SEC - but we can help on both ends where your Accounting, Management and Financial Reporting, Regulation and Taxation meet CPA Services and Consulting needs. Find us when you require related assistance at

We support Financial Services Businesses and General Businesses, Individuals and Attorneys with related needs. We are the CPA Services and Consulting practice that walks with you on services - we care about customer service and our Clients experience of Business Services. we use broad ranging research expertise for Our Clients best benefit on services in compliance with applicable rules and regulations.

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