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In the last decade, the investment management industry has become more globally focused, and yet investment advisers seeking to do business across borders still face a maze of competing national regulations and laws. As a result of operating in a global market, today’s investment adviser may be subject to some form of limited extra-territorial jurisdiction without necessarily being aware of it.
In this context investment advisers need to have an understanding of the regulatory and registration requirements of the United States, where the securities regulations are among the most restrictive in the world and where the regulator – the U.S. Securities and Exchange Commission (“SEC”) - has exercised the most expansive jurisdictional authority over non-U.S. investment advisers.