9-Hour Program

See Credit Details Below

Overview

Why you should attend

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:

  • New financial services reform provisions
  • The new regulatory world for private funds
  • The impending new regulatory treatment of investment advisers and broker-dealers and the fiduciary standards those professionals need to meet
  • Up-to-date SEC staff compliance guidance
  • New regulations affecting the use by funds of derivatives
  • Potential new initiatives relating to target funds, exchange traded funds and other specialized funds
  • New SEC adviser pay-to-play rules
  • The aftermath of Jones v. Harris
  • The changing world of mutual fund distribution
  • New ERISA rules affecting the asset management business
  • New FINRA guidance and other interpretations and rules affecting fund distribution
  • Governance initiatives of importance to fund independent directors and trustees
  • Regulation of equity indexed annuities
  • Corporate transactions in the asset management business
  • Recent litigation and enforcement activities, including actions relating to misuse of inside information and deficient disclosures

At this two-day program, you will hear from current and former regulators, industry experts and practitioners about these regulatory developments, as well as about business topics such as developments of new financial products and services.

What you will learn

  • Current initiatives from the SEC and other regulators
  • New products and services
  • Private funds
  • Developments in retirement plans and insurance products
  • Compliance and inspections
  • Litigation and enforcement
  • Ethics

Who should attend


This program is designed for attorneys in law firms, in-house counsel, private fund lawyers, compliance officers and others involved in current issues affected by the Investment Company Act of 1940, the Investment Advisers Act of 1940 and other relevant laws.

Credit Details