On-Demand Learning

Transcripts

Corporate & Securities

Investment Fund Management

Recorded on: Jun. 22, 2010

LORI BOSTROM: We're going to go right into the next panel. And so I'm going to invite Cliff back up and introduce our speakers. So now you're all experts in mutual fund regulation and operation, and so to help you put together all your knowledge going forward, we've invited two of the best investment management legal intellect to pull out crystal balls and talk about what's going to happen in the future with the investment management industry, as ...

Recorded on: Feb. 5, 2010

SPEAKER: Welcome back folks. We're about to start our hedge fund panel. I think for institutional investors, hedge funds might be the most challenging asset class for number of reasons. First of all, for many institutional investors, it is not an asset class that they are at all used to investing in. Or investment vehicle that they're all used to investing in. If you think about private equity, many institutional investors have been investing in ...

Recorded on: Mar. 7, 2012

LAUREN ESPOSITO: Program attorney with the Practicing Law Institute. It's my pleasure to welcome you to how to prepare an initial public offering 2012. A welcome to our webcast attendees as well. Before we begin today's program, I'm excited to announce that PLI has installed iPad tablets at each attendee seat in the conference room. This electronic tablet has been designed to supplement and enhance our programs. You'll be able to access various program ...

Recorded on: Apr. 11, 2013

LAUREN E. NOCHTA: It is now my pleasure to introduce each of the chairs of today's program, Laird Simons and Deanna Kirkpatrick. Laird is a partner at Fenwick and West where he is a member of the securities group. He concentrates his practice in initial public offerings for both domestic and foreign corporations, follow on offerings for already public companies, and ongoing securities advice and counseling for public companies. Deanna is a partner ...

Recorded on: Jun. 22, 2010

LORI: Terrific overview, we obviously have a lot to cover today. And you've now made reference to Mary Joan half a dozen times. So let me introduce Mary Joan Hoene, who is counsel at that Sonnenschein, Nath & Rosenthal and also is a specialist in investment management law and regulation focusing on a wide range of funds and other investment products. Mary Joan's career has spanned both private practice, both at financial institutions and at law ...

Recorded on: Jun. 11, 2012

CLIFFORD E. KIRSCH: And we are ready to begin the first panel discussion. And what we plan to do in this next hour is to give you a historical perspective on the mutual fund industry and mutual fund regulation, and really look at how we got to where we are today. And to lead our discussion, I'm very pleased to introduce Mary Joan Hoene and George Martinez. Mary Joan is counsel at Carter, Ledyard, & Milburn in New York. And George is Executive ...

Recorded on: Jun. 9, 2011

LAURIN BLUMENTHAL KLEIMAN: That was really a great introduction to a lot of the fundamental principles we're going to be talking about throughout the day. And if you don't appreciate that now, I think as you listen to the speakers talk about some of these issues that Karrie laid out, you will truly appreciate how comprehensive an overview of the principles Karrie outlined. But to truly understand the operation and regulation of investment companies, ...

Recorded on: Sep. 10, 2012

MICHAEL TREISMAN: But if you don't satisfy that exemption, you still have to register as a registered investment company. 7(d) is really what applies to just offshore entities, not onshore entities. On the Investment Advisers Act side, as Dan mentioned, obviously, there has been heightened requirements for purposes of managers needing to register. And generally speaking, if you have more than $100 million in assets under management with some clients ...

Recorded on: Feb. 22, 2013

CLIFFORD KIRSCH: Great. All righty, welcome back. And Anna gave the lead-in for this session. Our next panel is going to look at advertising developments. And as I said at the outset, we wanted to spend an hour working through the material here, because there really are very, very significant changes both on the broker-dealer side and the adviser side. And I have a great panel to walk us through, Stephanie Nicolas and Jesse Kanach. Stephanie is a ...

Recorded on: Feb. 10, 2012

ROBERT S. RISOLEO: Well, welcome back. With me for the final segment of the day are Gary Brown who's returning. He was here this morning and will spend some time next speaking about life settlements. And after Gary, we will hear from Ken Josselyn, to Gary's right, who is managing director at Goldman Sachs where he's been advising the treasury function and having a lot of experience and doing a lot of work with their structured notes and other matters ...

Recorded on: Aug. 11, 2010

SPEAKER 1: Alright guys, keeping on schedule here, cause we've got a break and we've got one more session after this also, so we want to stay on schedule for all of you. We're going to move into our next section of the day, which is Capital Structure. And we've got two speakers here on the panel with us, Jonathan Isler and Carlos Schmidt. Again, to say a few words here, I'm looking at these lengthy bios with a lot of background and I'm trying to pull ...

Recorded on: Jun. 21, 2010

ERIC: All right, so maybe we can just while everyone's taking their seat, and we're getting name tags going. The next panel is on capital structure. And this panel is, as its name implies, going to discuss capital structuring, including a run through of the various alternatives that companies have in raising capital, which obviously informs their capital structure. And they're going to use case studies, which is, I think, a fancy term for examples ...

Recorded on: Oct. 19, 2012

GARY BARNETT: OK, welcome back. We're going to move into our next session now, clearing and trading, grandfathering, end users, margin posting for cleared and uncleared transactions, client money segregation, loss mutualization. And our moderator is Kathryn, or Katie, Trkla. I'm going to introduce her, and then let her introduce the rest of the panel. Katie's a partner with Foley & Lardner. She's a member of Foley's securities, commodities, and ...

Recorded on: Apr. 11, 2013

DEANNA L. KIRKPATRICK: Well, I think we'll get started again and try and stay on schedule. So I think in our next segment, Laird is going to talk about comfort letters, which as you heard-- or I'm sorry, financial statement requirements, which we didn't cover in the initial registration process part. LAIRD H. SIMONS III: So for a good probably 45 minutes or so, we're going to delve into the accounting piece of the registration statement. Some years ...

Recorded on: Jul. 24, 2012

CLIFFORD E. KIRSCH: All right, we are here for our last panel, compliance exams and ethical issues, ethical issues as they present themselves to lawyers and compliance professionals who operate and work with investment advisers. And for this panel, I'm very, very pleased to introduce to my right, John Walsh. John is a colleague of mine now at Sutherland. John's a partner in Sutherland's DC office in the financial services group. So I'm very, very ...

Recorded on: Jul. 14, 2011

YUKAKO KAWATA: Let me introduce our panel on conflicts of interest and other ethics issues, and this is the one hour ethics credit for this conference. And we scheduled it right immediately before lunch, yes. And so to my right is Stephanie Breslow. And she is a partner in the investment management practice group at Schulte Roth, and a member of the firm's executive committee. Her practice concentrates on investment management, partnerships and securities ...

Recorded on: Jul. 12, 2012

YUKAKO KAWATA: OK. So we're on to the final panel for this morning. Right before lunch, to keep you all here, we have the Ethics Panel on Conflicts of Interest. This will provide the ethics credit for this conference. And for that, I've asked, to my right, Ed Sopher. He is a partner in the New York office of Gibson, Dunn, & Crutcher. He is the chair of the Investment Funds Practice Group and a member of the Corporate Transactions and Securities ...

Recorded on: Apr. 26, 2012

DAVID M. LYNN: OK. We're back at the Global Capital Markets Conference. And at the topic now we're turning to is corporate governance. And I would reminder those who are watching us on the web cast that you can ask a question if you press the Ask Question button, and we'll actually receive it here by the magic of the internet and we'll be able to answer it. The top, again, for this panel is to really survey a number of important corporate governance ...

Recorded on: Feb. 22, 2013

CLIFFORD E. KIRSCH: Welcome back everyone. And we're ready with our next panel. As I said at the outset of the program, more and more people-- lawyers, compliance officers, [? at ?] broker dealers, and advisers-- are being asked to deal with cross border issues. I think it's a natural consequence from where the business is going. And I've asked a real expert in this area, Christopher Christian, who works very, very closely with these issues and counsels ...

Recorded on: Apr. 12, 2010

PAUL ROYE: Thanks, Buddy, for those remarks. I'd like to join Barry in welcoming you to the 2010 Investment Management Institute. We're going to be joined up here by Joel Goldberg. Joel is former Division director, and now partner at Stroock Stroock firm, and has extensive investment management practice. This panel is our opportunity drill down on what's going on in the investment management area, and you know, Buddy has talked about concerns about ...

Recorded on: Jul. 14, 2011

YUKAKO KAWATA: OK, picking up on the second M&A panel for this afternoon-- well John Bick and David Allinson I've already introduced, but we have now been joined by Stephen Besen, and he is a partner at Shearman & Sterling in the mergers and acquisition group with extensive experience in private equity and merchant banking. So with that. JOHN A. BICK: Welcome back. Here it's going to be a focus on how parties go about acquiring companies ...

Recorded on: Jul. 12, 2012

SPEAKER 1: Thank you YUKAKO KAWATA: OK, so welcome back, everybody, and we are on our second MNA panel, and the last panel for this afternoon. And for this panel we have with us again David and Michael, and we are joined by Justin HAMILL. Justin is a partner in the corporate department of Paul Weiss and is a member of the mergers and acquisitions group and private equity group. And we are particularly grateful that Justin is here because, unfortunately, ...

Recorded on: Apr. 30, 2013

LAURIN BLUMENTHAL KLEIMAN: --our last panel of the day, and here's the point in the program where we talk not only about the more traditional registered investment companies, but also new and different and alternative ways of pulling assets and selling securities publicly, like exchange traded funds and other things like that. I see Ed and I see Bob, and there's Jim. How are you? EDWARD BAER: Good to see you. The right hand of power. LAURIN BLUMENTHAL ...

Recorded on: Mar. 30, 2010

SPEAKER 1: OK. Why don't we get settled so we can begin. Welcome back. This panel is focused on derivatives specifically, although, of course, we've touched on them elsewhere. I was introduced this morning. I'm going to introduce my co-panelists. Bob Rizoli will probably rejoin us quite shortly. To my left is Kiye Sakai. She is Executive Director and Counsel at UBS Securities in Stamford. She is a member of the Fixed Income Legal Team in the Americas ...

Recorded on: Jan. 14, 2013

ROBERT S. RISOLEO: Hello everyone. Welcome back from lunch. We're entering the home stretch. This afternoon, the next two hours-- well, with a break in-between-- we will spend talking about derivatives. There have been, as you've heard some information about, you'll hear a lot more. There have been a lot of changes to the regulation of derivatives in the past year. And our panel will ably discuss those issues, and some others, as well. Rebecca Simmons ...