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Fundamentals of Investment Adviser Regulation 2012

Released on: Aug. 29, 2012

Running Time Segment Title Faculty Format
[01:16:56] Laying the Foundation Clifford E. Kirsch ~ Sutherland
Bruce W. Maisel ~ Vice President & Chief Compliance Officer U.S. Private Client Group, BMO Harris Bank
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[01:02:00] Registration, Disclosure and Required Filings Clifford E. Kirsch ~ Sutherland
John L. Bronson ~ U.S. Businesses Regulatory Counsel, Prudential Financial
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[01:01:41] Standards of Conduct; Marketing and Advertising; Trading Activity Kay A. Gordon ~ K&L Gates LLP
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[01:20:33] Retail Advisory Services; Managed Advisory Programs Kevin Dowling ~ Of Counsel, Focus Financial Partners LLC
Carolyn Tuohy ~ Senior Counsel, General Counsel's Office, Thrivent
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[00:59:47] Private Funds and Institutional Advisory Services Ethan Corey ~ Senior Vice President and Associate General Counsel, MFS Investment Management
Peter M. Rosenblum ~ Foley Hoag LLP
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[01:00:38] Compliance and Exams; Ethics for Adviser Lawyers John H. Walsh ~ Sutherland Asbill & Brennan LLP
Steven A. Yadegari ~ Executive Vice President and General Counsel, Cramer Rosenthal McGlynn, LLC
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DVD's from the program Fundamentals of Investment Adviser Regulation 2012, held July, 2012.

Chairperson(s)
Clifford E. Kirsch ~ Sutherland
Speaker(s)
John L. Bronson ~ U.S. Businesses Regulatory Counsel, Prudential Financial
Ethan Corey ~ Senior Vice President and Associate General Counsel, MFS Investment Management
Kevin Dowling ~ Of Counsel, Focus Financial Partners LLC
Kay A. Gordon ~ K&L Gates LLP
Bruce W. Maisel ~ Vice President & Chief Compliance Officer U.S. Private Client Group, BMO Harris Bank
Peter M. Rosenblum ~ Foley Hoag LLP
Carolyn Tuohy ~ Senior Counsel, General Counsel's Office, Thrivent
John H. Walsh ~ Sutherland Asbill & Brennan LLP
Steven A. Yadegari ~ Executive Vice President and General Counsel, Cramer Rosenthal McGlynn, LLC

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