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This program was recorded on November 19, 2020
Inadvertent investment companies, 1940 Act exemptions and private placements. This presentation will explore traditional businesses that are caught by the Investment Company Act of 1940 (“1940 Act”) inadvertently and a variety of 1940 Act exemptions under the 1940 Act. The presentation will also cover private placement exemptions under the 1940 Act applicable to inadvertent investment companies and private funds.
John Nelson Chrisman
John Chrisman is a corporate, M&A, and capital markets lawyer. His legal and business experience spans over 50 countries across six continents. John has over 30 years’ experience advising governments, companies and financial institutions on U.S. and international M&A, capital markets (equity and debt), private equity and venture capital transactions. He has lived and worked as a lawyer in Dallas, Dubai, Hong Kong, London, Los Angeles, Melbourne, Singapore and Sydney.
1 General Credit
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- How to Identify an Investment Company
- 3 types of Investment Companies
- Inadvertent Investment Companies
- Statutory Exceptions under the 1940 Act
- Exemptions under the Investment Company
- Private Placements under 3(c)(1)
- Qualified Purchaser Placements under 3(c)(7)
- Foreign Investment Companies