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Investment Fund Management

From the program: Advanced Swaps & Other Derivatives 2012

Released on: Oct. 31, 2012

The Dodd-Frank Act establishes a novel, comprehensive framework for the regulation of over-the-counter (OTC) derivatives and the market participants who transact in these products. The far-reaching effect of the Dodd-Frank Act upon the OTC markets is only now becoming clear. The new regulatory regime touches the activities of all participants in the swaps markets, from end users to major swap participants to swap dealers. The new regulations will ...

Recorded on: Apr. 12, 2013

Taken from the Web Program How to Prepare an Initial Public Offering 2013 Recorded April, 2013 in New YorkAn Overview of the IPO Registration Process [01:11:21] Current state of the IPO market Considerations at the planning stage of an IPO Drafting of the registration statement and reduced disclosure requirements for emerging growth companies The purchase price of this segment includes the following article(s) from the Course Handbook available ...

From the program: Fundamentals of Mutual Funds and Exchange-Traded Funds 2012

Released on: Jun. 26, 2012

This program is designed to provide attendees with a solid foundation in the legal, regulatory and operational issues affecting the $12 trillion mutual fund industry, including the emerging exchange-traded fund industry.  Learn how Congress, regulators, markets, and the courts have shaped the formation and structure of this industry.  You will also learn about the impact of the financial crisis on the mutual fund and exchange-traded ...

Recorded on: Sep. 10, 2012

Taken from the Web Program Hedge Funds 2012: Strategies and Structures for an Evolving Marketplace Recorded September, 2012 in New York Basic Hedge Fund Structures [01:00:07] Formation of domestic and offshore structures Current terms and conditions for hedge funds Developments regarding fee arrangements Fundraising activities, private placement requirements, pay-to-play issues The purchase price of this segment includes ...

From the program: Basics of Mutual Funds and Other Registered Investment Companies 2013

Released on: May. 8, 2013

This program is designed to provide you with a basic overview of the legal, regulatory and operational issues affecting “registered investment companies” – the universe of publicly offered pooled investment vehicles that include mutual funds, closed-end funds, exchange-traded funds (“ETFs”) and others. You will learn the fundamentals of the extensive regulatory framework that dictates the structure and operations of retail investment funds ...

From the program: Fundamentals of Swaps & Other Derivatives 2012

Released on: Oct. 29, 2012

Over-the-counter (OTC) derivatives are key elements in many of our financial markets. The Dodd-Frank Act is substantially changing how these important instruments are regulated and transacted. This program will introduce you to both the instruments and their new environment. A derivative is a financial instrument that allocates the risks and price exposures associated with a designated reference asset or entity between the parties thereto. Derivatives ...

From the program: Broker-Dealer and Adviser Regulatory Compliance Forum 2013

Released on: Mar. 6, 2013

Brokerage and advisory firms' compliance programs are under intense regulatory scrutiny. In this program, you will be provided with expert analysis regarding today’s hot topics impacting the relevant regulatory framework, as well as practical considerations regarding the design and implementation of such programs. A distinguished faculty of practitioners and regulators will review current regulatory initiatives and recent examination ...

From the program: Broker-Dealer and Adviser Regulatory Compliance Forum 2012

Released on: Mar. 21, 2012

Audio CD's from the program Broker-Dealer and Adviser Regulatory Compliance Forum 2012, held February, 2012.

From the program: Broker/Dealer Regulation and Enforcement 2012

Released on: Nov. 7, 2012

More than three years since the financial crisis erupted, there continues to be heightened regulation and enforcement of the securities laws - by the DOJ, SEC, CFTC, states and SRO’s.  A number of significant rules have been promulgated in the last year to implement various provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act, enacted in 2010, while other rules have been proposed but not yet finalized.  The Dodd-Frank ...

Recorded on: Feb. 5, 2013

Taken from the Web Program Hedge Fund Compliance & Regulation 2013 Recorded January, 2013 in New York Building an Effective Compliance Program [01:23:16] Regulatory focus in 2013: views from the SEC and NFA Designing an effective compliance program Implementation and testing Working with regulators and preparing for an exam   The purchase price of this segment includes the following article(s) from the Course ...

From the program: Private Equity Forum (Thirteenth Annual)

Released on: Jul. 24, 2012

The current economic crisis and the state of financial markets continues to have a negative impact on private equity, leading to lower levels of fund-raising and deal-making activities. There has also been increasing regulatory and legislative focus on private equity funds and their roles in the financial markets leading to the downturn, as well as their potential roles going forward. In this environment, private equity faces a number of significant ...

From the program: Understanding Financial Products 2013

Released on: Jan. 22, 2013

The explosion of new financial products over the past decade, the implosion of the credit markets and the resulting significant new regulatory requirements underline the importance of a basic understanding of financial products. While these instruments have been, in the view of many, invaluable investment tools, and have presented enormous potential for product manufacturers and investors, they also create potentially significant legal risks and challenges ...

Recorded on: Feb. 12, 2013

Taken from the Web Program Twelfth Annual Institute on Securities Regulation in Europe: Overcoming Deal-Making Challenges in the Current Markets Recorded February, 2013 in London Developments in Capital Markets [01:11:54] Budding renaissance for foreign private issuer IPOs in the U.S.? JOBS Act - impact on registered and unregistered offerings in Europe - has it made a difference in how we do deals? Key trends in emerging markets  ...

From the program: Drafting Securities Filings 2012

Released on: Oct. 12, 2012

This workshop will analyze in detail the principal forms and certain drafting issues and techniques used in filings with the SEC under the Securities Act of 1933 (“Securities Act”) and the Securities Exchange Act of 1934 (“Exchange Act”), with particular emphasis on the mechanics of and timing for assembling particular filings. Recent legislation, including the controversial Jumpstart Our Business Startups (“JOBS”) ...

From the program: ERISA Fiduciary Investment Basics 2012

Released on: Mar. 21, 2012

DVD's from the program ERISA Fiduciary Investment Basics 2012, held February, 2012.

From the program: ERISA Fiduciary Investment Basics 2013

Released on: Feb. 20, 2013

This course provides an introduction to the basics of ERISA fiduciary law using a case-study vehicle, and is intended for lawyers seeking to solidify their understanding of the regulatory framework, to ensure that they have a full picture of the important issues to be addressed and to develop their analytical abilities.  In this year’s program, you will learn about the principal issues in ERISA’s regulation of plan investments ...

From the program: First Annual Institute on Corporate & Securities Law in Hong Kong 2013

Recorded on: Apr. 22, 2013

Taken from the Web Program First Annual Institute on Corporate & Securities Law in Hong Kong 2013 recorded April, 2013 in Hong Kong.Lecture Topics  [01:04:42]Market Overview  [01:04:42] What are investors looking for when investing in Asian markets? Issues Hong Kong companies face when listing in the U.S. and China Challenges U.S. issuers face when listing in Hong Kong and China Differences in listing regimes and treatment ...

From the program: Fundamentals of Broker-Dealer Regulation 2012

Released on: Jul. 9, 2012

Major changes in broker-dealer regulation and the industry have come about as a result of the financial services crisis and the resulting regulatory reform.  At the same time, FINRA continues to overhaul its rulebook as part of its Rulebook Consolidation process.  This program will provide you with a solid foundation in the regulatory regime applying to broker-dealers, including what to expect next regarding broker-dealer regulation.  Learn ...

From the program: Fundamentals of Investment Adviser Regulation 2012

Released on: Aug. 1, 2012

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.  At the same time, Congress is considering financial regulatory reform that could impose a new self-regulatory organization in charge of adviser regulation.  In ...

From the program: Investment Management Institute 2012

Released on: Mar. 22, 2012

DVD's from the program Investment Management Institute 2012, held February, 2012.

From the program: Investment Management Institute 2013

Released on: Mar. 22, 2013

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 Potential new regulations affecting money-market funds Potential SEC staff guidance regarding derivatives used by registered funds Potential new regulatory initiatives relating to target date funds and exchange-traded ...

Recorded on: Feb. 28, 2013

Taken from the Web Program The SEC Speaks in 2013 Recorded February, 2013 in Washington Investment Management [01:03:21] Retirement Novel Products Private Funds The purchase price of this segment includes the following article(s) from the Course Handbook available online: Outline: Division of Investment Management Presentation Material Investment Management Norm Champ,Diane C. Blizzard,Barry D. Miller,Susan ...

From the program: Municipal Securities Activity by Broker-Dealers and Advisers 2012

Released on: Apr. 23, 2012

Audio CD's from the program Municipal Securities Activity by Broker-Dealers and Advisers 2012, held March, 2012.

From the program: Pension Plan Investments 2012

Released on: May. 15, 2012

DVD's from the program Pension Plan Investments 2012, held April, 2012.

From the program: Pension Plan Investments 2013: Current Perspectives

Released on: Apr. 16, 2013

Experienced practitioners in the area of pension investment law, together with senior representatives of the Department of Labor, will give their perspectives and illuminate issues on current topics and recent developments. Continued statutory, regulatory, and market changes ensure a full agenda of new developments to be debated and analyzed by the panelists. The Dodd-Frank financial reform legislation brought a new regulatory structure for pension ...