kaal:claim:2732915-019

The most common adviser responses to Title IV are outsourcing compliance work, hiring additional counsel, instituting new record keeping policies, hiring additional staff, changing marketing materials, and changing communications with investors, all compliance updates rather than fundamental legal or strategic change.

The most common actions taken include: (1) outsourcing compliance work, (2) hiring additional counsel, (3) instituting new record-keeping policies, (4) hiring additional staff, (5) changing marketing materials, and (6) changing communications with investors.

Wulf A. Kaal, The Private Fund Industry Five Years after the Dodd-Frank Act – A Survey Study (2016), V. Discussion and Conclusion, 1. Summary of Key Findings, p. 34
https://ssrn.com/abstract=2732915 · source PDF

Wulf A. Kaal, The Private Fund Industry Five Years after the Dodd-Frank Act – A Survey Study (2016). SSRN: https://ssrn.com/abstract=2732915

• N=69 survey respondents

empiricalsupport: evidencedcomplianceempirical-evidence

• extends kaal:claim:2150377-020 Advisers responded to Dodd-Frank registration mainly through administrative and advisory adjustments: the most...

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