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Broker/Dealer Regulation and Enforcement 2015

Seminar  SeminarWebcast  Webcast

Why You Should Attend This program will focus on the many significant developments in the regulation and oversight of broker-dealers. New rules are continuously promulgated under the Dodd-Frank Act and have substantial implications for broker-dealers and the industry. At the same time, there is heightened enforcement of the federal securities laws. The SEC Division of Enforcement has established a new task force focused specifically on broker-dealers. ...

Fifteenth Annual Institute on Securities Regulation in Europe: Practical Implications of U.S. Law on EU Practice

Seminar  SeminarWebcast  Webcast

Why You Should Attend We are proud to present Practising Law Institute’s Fifteenth Annual Institute on Securities Regulation in Europe, the most comprehensive securities programme available in Europe, with a unique focus on the application of U.S. securities law in the EU.  This Institute will provide the important U.S. perspective relevant to UK and European practice, featuring leading practitioners active in the U.S. and Europe, as well ...

Hedge and Private Fund Enforcement & Regulatory Developments 2015

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

Why You Should Attend The SEC and other government agencies continue to focus enforcement efforts on hedge funds and private equity firms.  While insider trading continues to be a priority, examinations and sweeps have turned to issues that private funds deal with on a daily basis - valuation, conflicts of interest, big data and transparency of fees and allocation of expenses. As the regulators’ and prosecutors’ expertise and sophistication ...

Private Fund Regulatory Developments and Compliance Challenges 2016

Seminar  SeminarWebcast  Webcast

Why You Should Attend As our first educational conference of 2016 focused specifically on hedge funds as well as private funds, generally, this afternoon program will deliver insights from three distinguished panels of experts who will discuss the regulatory and compliance challenges expected to face hedge fund and other private managers in 2016.  A stellar faculty composed of private fund general counsels and chief compliance officers, representatives ...

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