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Investment Fund Management

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

Recorded on: Apr. 30, 2013

Taken from the Web Program Basics of Mutual Funds and Other Registered Investment Companies 2013 recorded April, 2013 in New York.Lecture Topics  [01:03:27]Current Trends and Developments  [01:03:27] Will ETFs displace mutual funds as the pooled investment vehicle for the retail investor Will hedge funds displace registered funds as the preferred 21st century investment? What other changes are afoot in the mutual fund industry? The ...

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

Recorded on: Feb. 22, 2013

Taken from the Web Program Broker-Dealer and Adviser Regulatory Compliance Forum 2013 recorded February, 2013 in New York. Lecture Topics  [01:02:23] Broker-dealer and Adviser Advertising Developments  [01:02:23] New FINRA public communication rules Internal Use Only Material: Complying with the new “reason to believe’ standard Backtested performance Private fund advertising under the JOBS Act The ...

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: Hedge Fund Compliance & Regulation 2013

Recorded on: Feb. 4, 2013

Taken from the Web Program Hedge Fund Compliance & Regulation 2013 recorded January, 2013 in New York. Lecture Topics  [01:22:38] Building an Effective Compliance Program  [01:22:38] 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 ...

From the program: How to Prepare an Initial Public Offering 2013

Recorded on: Apr. 11, 2013

Taken from the Web Program How to Prepare an Initial Public Offering 2013 recorded April, 2013 in New York.Lecture Topics  [01:10:38]An Overview of the IPO Registration Process  [01:10:38] 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 ...

From the program: Institute on Securities Regulation in Europe 2013 (Twelfth Annual): Overcoming Deal-Making Challenges in the Current Markets

Recorded on: Feb. 7, 2013

Taken from the Web Program Institute on Securities Regulation in Europe 2013 (Twelfth Annual): Overcoming Deal-Making Challenges in the Current Markets recorded January 31 - February 1, 2013 in London. Lecture Topics  [01:11:14] Developments in Capital Markets  [01:11:14] Budding renaissance for foreign private issuer IPOs in the U.S.? JOBS Act - impact on registered and unregistered offerings in Europe - has it made ...

From the program: Investment Management Institute 2013

Recorded on: Mar. 15, 2013

Taken from the Web Program Investment Management Institute 2013 recorded March, 2013 in New York. Lecture Topics  [01:03:17] Compliance and Inspections  [01:03:17] Addressing key adviser and fund compliance issues Preparing for SEC exams Dealing with whistleblower claims The purchase price of this segment includes the following article from the Course Handbook available online: Examinations by the ...

From the program: Securities Products of Insurance Companies in the Course of Regulatory Reform 2013

Recorded on: Jan. 25, 2013

Taken from the Web Program Securities Products of Insurance Companies in the Course of Regulatory Reform 2013 recorded January, 2013 in New York. Lecture Topics  [01:05:28] Regulation of Variable Products Under the 1940 Act  [01:05:28] A primer on 1940 Act regulation Latest regulatory issues SEC current disclosure requirements Summary prospectus for VAs The purchase price of this segment includes the following ...

From the program: The SEC Speaks in 2013

Recorded on: Feb. 25, 2013

Taken from the Web Program The SEC Speaks in 2013 recorded February, 2013 in Washington, D.C. Lecture Topics  [01:02:38] Investment Management  [01:02:38] Retirement Novel Products Private Funds The purchase price of this segment includes the following article from the Course Handbook available online: Outline: Division of Investment Management Presentation Material Investment Management  ...

From the program: Understanding Financial Products 2013

Recorded on: Jan. 14, 2013

Taken from the Web Program Understanding Financial Products 2013 recorded January, 2013 in New York. Lecture Topics  [02:01:30] Derivatives Products  [02:01:30] Use of swaps, collars, options, futures and forwards to hedge portfolio positions Documentation for derivatives Structured and exchange traded notes Impact of Dodd-Frank: swap trading, clearing and trade reporting Special issues associated with credit ...