Next 3 Months

Seminars

Corporate & Securities

Financial Products

• Jul. 17, 2013 New York, NY

In the aftermath of the financial crisis and the resulting regulatory reform, the SEC has advanced significant rulemaking to impose a greater degree of controls on investment advisers’ operations. In fact, the SEC has put the regulation of investment advisers under the microscope, establishing new rules related to adviser custody, political contributions and adviser disclosure and has retooled its adviser exam program.At this program, attendees will ...

• Jul. 25 - 26, 2013 New York, NY

Whether you are new to the field or seeking a quick refresher or an update, this is a securities law primer that you won’t want to miss. This program provides an overview and discussion of the basic aspects of the U.S. federal securities laws by leading in-house and law firm practitioners and key SEC representatives. Emphasis will be placed on the interplay among the Securities Act of 1933 and the Securities Exchange Act of 1934 and related SEC regulations, ...

• Sep. 12, 2013 New York, NY

In 2012, hedge funds and their managers faced their first year of operations under new regulations enacted under Dodd-Frank. New entrants to the hedge fund industry now had large barriers to entry; existing managers had to deal not only with new regulations but many were also forced to grapple with regulatory investigations and insider trading allegations. At the same time, hedge fund managers had to continue to deal with the day-to-day operational ...