On-Demand Learning

Corporate & Securities

Investment Fund Management

Recorded on: Feb. 13, 2012

BARRY BARBASH: OK, folks. It's time for our closing panel, so I call upon our closer, Michael Sackheim who closes us out every year. And I can tell you it is the one panel, year-in, year-out, when I'm not moderating that I attend. Because it's the panel on ethics, and I have to get New York continuing legal education credit. Michael is a partner at Sidley Austin whose real practice is in the derivatives area. But he also has become an expert in ethics. ...

Recorded on: Jul. 18, 2011

CLIFFORD KIRSCH: All right we are going to start. And thanks everyone for sticking around. We appreciate it, we're going to have a good discussion. Our last session is on a legal ethics. I'm very pleased that Steve is back from the first panel, and as well as John. So I appreciate them being back here, and sticking out the day here. And what we wanted to do on this session is have a targeted discussion of the role of the chief legal officer at an ...

Recorded on: Jun. 11, 2012

LAURIN BLUMENTHAL KLEIMAN: So we've save the Exchange-Traded Fund panel for last. Although, I know several of you really came here to learn more about alternatives to mutual funds. And we have two panelists here who are very steeped in all kinds of investment company, and other types of Securities Law issues, but particularly focused also on ETFs. To my right is Jim Munsell, he is my partner. We practice together across the street, in the Investment ...

Recorded on: Jun. 9, 2011

SPEAKER 1: Thank you so much, Laurie and Mark. I guess if there's one thing that's clear from that presentation, it's how much Laurie and Mark love what they do. It is a very interesting and highly developed area of the law. And I would say-- since we have a couple of minutes-- I would say there is a dearth of experienced '40 Act lawyers in the millennial generation. And so this is an area that I hope by now you've realized is really fascinating and ...

Recorded on: Mar. 30, 2010

CLIFF: In fact, I'm not even going to let Tom get his papers out and everything. I'm just sort of going to go into the introduction. We've covered two or three of the pooled investment vehicles. We've covered mutual funds. We've covered hedge funds. And in our earlier panel, already a couple of times we've mentioned exchange-traded products, and we mentioned their great growth over the years, their growing significance, so it was Bob's idea last ...

Recorded on: Jul. 3, 2012

LAUREN: --with us. Thank you. CLIFFORD KIRSCH: Thanks Lauren. Thanks everyone for being back with us for this wrap up panel. And what we wanted to do to take us to the end of the program for the next hour and 15 minutes is look at three areas-- financial responsibility, which Allison made a very, very quick reference to this morning about customer protection and net capital knowing that we would speak about later. We save it for this. But it's such ...

Recorded on: May. 4, 2010

SPEAKER 1: With that, we've had two web questions, which I'll just address quickly. The first is that courts have frequently ruled that item 303, which is the MD&A discussion of known trends and uncertainties that we discussed, is not actionable in the context of securities lawsuits. And the question is, has the SEC taken a correspondingly looser stance on item 303, with respect to enforcement? And I think, from my perspective, the answer is, ...

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 ...

Recorded on: Jul. 12, 2012

YUKAKO KAWATA: OK. Let's get started. So welcome back everybody. And we are changing gears now, this afternoon, for two panels where we are actually going to be focusing on what it is that these private equity funds do, which is actually make investments, sell investments. That's the key part of a private equity fund's activity, after all. So for our first panel on the Fundamentals of Private Equity Investing, let me introduce the panel. I have sitting ...

Recorded on: Jul. 14, 2011

YUKAKO KAWATA: OK, welcome back, everybody. So we are about to start the first of the two MNA panels for this afternoon. So let me introduce the panel. To my right is my partner John Bick. He is the head of Davis Polk's corporate department and a member of the firm's three-person management committee. He has an extensive practice in private equity, representing a number of private equity funds. To John's right is Sean Murphy, who is a managing director ...

Recorded on: Apr. 30, 2013

CLIFFORD E. KIRSCH: I'd like to get started again. And in this next panel, we begin taking a dive into the regulation of investment companies, as it exists today and, again, taking a pretty in-depth look into the Investment Company Act. And in this panel, Fund Anatomy, we take an inside look at the mutual fund. And what we're going to look at is the mutual fund regulations, with respect to the board of directors, portfolio management, and also how ...

Recorded on: Apr. 30, 2013

LAURIN BLUMENTHAL KLEIMAN: Welcome back. This next panel is always a real crowd-pleaser. Fund litigation-- we just got finished talking about the regulatory oversight and what the SEC can do to make a fund's life challenging. Now we're going to talk about the adventures that funds have gone through in the courts. My two panelists have been with this program for several years, and it's always really interesting to hear what they have to say. To my ...

Recorded on: Apr. 30, 2013

CLIFFORD E. KIRSCH: Alrighty, welcome back. We're going to start. I know others will be joining us as we begin chatting. And welcome back to the folks on the web as well. Thanks for joining us. On this panel, we're going to go for an hour, looking at how a mutual fund markets itself and sells fund shares. And I'm delighted to be able to welcome two folks who are new to this program but not new at all to investment management regulation. To my far ...

Recorded on: Feb. 1, 2012

SUSAN GRAFTON: So we want to welcome our next group of panelists. So now we're registered we're starting to trade and oops, we need some investors. And so this panel is going to talk about the issues that hedge funds have, both in terms of soliciting, marketing, to new investors, and then the treatment of investors along the way. And so this is a terrific panel of folks. We have to my right Michael Butowsky from Jones Day, and I'm sure that most ...

Recorded on: Jul. 18, 2011

CLIFFORD E. KIRSCH: And for this next session I'm going to hand it off, to moderate this, to my colleague, Mark Smith. Mark is a partner in Sutherland's D.C. office. So Mark, thanks very much. It's all yours. W. MARK SMITH: Thank you, Cliff. Good afternoon, everyone. We commend you for coming back after the afternoon break, resisting the temptation to go back to the office and return those emails and phone calls. We think you should be very well ...

Recorded on: Jan. 14, 2013

CLIFFORD E KIRSCH: All right. Welcome back for our final panel of the day. We're going to be looking at insurance products, a new panel for this program. And I'm pleased to welcome back Gary Brown, who's doing double duty on this panel. Thanks for rejoining us again, Gary. And I'm also pleased to introduce Dodie Kent. Dodie is the Vice President and Associate General Counsel at AXA Equitable, here in New York. And among Dodie's responsibilities, ...

Recorded on: Apr. 27, 2010

DANIELLE BERSOFSKY: Good afternoon. My name is Danielle Bersofsky and I'm a program attorney with the Practising Law Institute. And it's my pleasure to welcome you to our program, Hedge Fund Registration and Compliance 2010. Welcome to our many webcast and groupcast attendees as well. Before we begin today's program, I have a few brief announcements. Please remember that absolutely no recording of this program is permitted. And today's featured ...

Recorded on: May. 4, 2010

So I'll give you a brief warning, what we're discussing today and I can-- the panelists are happy to add whatever it is they'd like to that, but this is all for training and illustrative purposes. And it is really not meant to say what is or is not appropriate in any particular circumstance. So with that I'll introduce-- to my immediate right is Sarah Beshar. To my next right is Bill Fredericks and to my next right is Joe Kaufman. And we are going ...

Recorded on: Jul. 14, 2011

YUKAKO KAWATA: For our first panel which will focus on "Investment Advisers Act Registration" requirements and issues, we are very fortunate to have with us an absolutely super panel. Let me introduce our panel. To my immediate right is Marco Masotti, he is the Deputy Chair of the Corporate Department at Paul, Weiss. And he is recognized as one of the leading fund lawyers in the global alternative asset industry. Next to Marco we are very ...

Recorded on: Jul. 12, 2012

And with that, let me just introduce our panel, our first panel. And this year, I made the mistake, for some reason, of deciding I was going to join a substantive panel. So I am joined here by two really great practitioners. To my right is Ken Berman. He is a partner with Debevoise. He is resident in the Washington office. He's a member of the Investment Management Group. And prior to joining Debevoise, and we've known Ken for a while, he was an ...

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 ...

Recorded on: Apr. 27, 2010

SUSAN GRAFTON: So while our next team of panelists are making their way to the stage, so that we don't cut in to the time we'll get to hear their views. I think we're alphabetical, so that works. To my right will be Michael Butowski. And Michael is a partner in the New York office of Mayer Brown, where he counsels public and private domestic and foreign investment vehicles. They are sponsors, directors, advisors, underwriters and administrators of ...