9-Hour Program

See Credit Details Below

Overview

Why you should attend

You’ll hear expert panelists discuss: significant business and legal developments in the investment management area over the past year and important regulatory initiatives such as:

  • The SEC’s regulatory agenda
  • New regulations affecting money-market funds
  • Potential SEC staff guidance regarding valuation, derivatives and other areas
  • Potential new regulatory initiatives relating to target date funds and exchange-traded funds
  • Possible modifications of the fund reporting regime
  • Governance initiatives of importance to fund independent directors and trustees
  • New legislative initiatives
  • The future of investment adviser oversight
  • Mutual fund distribution, including the use of social media
  • Effect of CFTC, DOL, FINRA and non-U.S. regulations on the fund industry
  • Up-to-date SEC staff investment management compliance guidance
  • Investment management examination hot buttons
  • The regulation of private fund managers
  • Recent investment management litigation trends
  • The continued focus on enforcement in the asset management area
  • Ethics for the investment management practitioner

At this program, you will hear from current and former regulators, industry experts and practitioners about important regulatory matters, as well as about business topics such as developments of new financial products and services.

Who should attend

This program is designed for attorneys in law firms, in-house counsel, private fund lawyers, compliance officers and others involved in current issues affected by the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Commodity Exchange Act of 1974, ERISA and other relevant laws.

Credit Details