By Tony Nolan
On March 10, 2016 at 8:30am the London office of K&L Gates will host a Breakfast Roundtable on the US Regulatory Landscape for Marketplace Lending. The Roundtable will cover a range of topics that are relevant to entering into the US market, focusing particularly on ways to facilitate a broad distribution of investments.
New York partner Anthony Nolan and London partner Jacob Ghanty will lead a discussion of how US regulatory and compliance issues may affect UK lenders and investors that are considering entering the US online / P2P / marketplace lending market.
Topics covered will include:
- investment vehicle structures that are exempt from registration under the Investment Company of 1940,
- securities offering disclosure and registration considerations under the Securities Act of 1933, including available exemptions from registration as expanded by the JOBS Act.
- exemptions from registration of the manager as an investment adviser or a broker-dealer under the Investment Advisers Act of 1940 and the Securities Exchange Act of 1934,
- licensing and regulatory compliance for lenders and brokers under state and federal law,
- operational compliance with a range of federal and state laws covering consumer protection, data protection and anti-money-laundering regulations.
Please email Robyn.Duffy@klgates.com if you would like to attend this event or if you would like more information about it.