Seminars & Webcasts

Regulatory Ethics

Next Year

• Jan. 6 - 7, 2014 New York, NY

The explosion of new financial products over the decade leading up to the financial crisis, the implosion of the credit markets in 2008, 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 ...

• Jan. 22, 2014 New York, NY

• Jan. 22, 2014 Philadelphia, PA
• Jan. 22, 2014 Mechanicsburg, PA
• Jan. 22, 2014 Columbus, OH
• Jan. 22, 2014 Pittsburgh, PA

The insurance industry continues to navigate the legal environment in meeting insurance and retirement needs in the face of regulatory initiatives adopted in recent years, and ongoing initiatives for regulatory and legislative change, as well as new technological developments. This timely program provides critical content on the prevailing and emerging legal issues practitioners must understand and insights into product development. As the evolving ...

• Jan. 28, 2014 New York, NY

• Jan. 28, 2014 Birmingham, AL

Nearly 40% of investment advisers that are currently registered with the Securities and Exchange Commission manage at least one private fund.  As a result, the SEC’s examination staff has developed new strategies and processes to address the risks associated with managing hedge funds and other private funds.  In addition, in light of the Commodity Futures Trading Commission’s increased jurisdiction over private funds, the National Futures ...