Seminar  Program

Investment Management Institute 2018


Select a Location:

Why You Should Attend

At this program you will hear expert panelists discuss significant business, legal, and technological developments in the investment management area over the past year and learn about important regulatory initiatives.

 

What You Will Learn

  • The SEC’s regulatory agenda under a new administration
  • The impact of technology on investment management
  • Liquidity management and derivatives regulation
  • A review of new SEC staff guidance
  • Current exchange-traded funds issues
  • Fund and advisers reporting regimes
  • Coping with the Department of Labor’s fiduciary rule and best interest contract exemption
  • The potential SEC fiduciary rule
  • The changing role of independent directors and trustees and other governance matters
  • Systemic regulation and the asset management business
  • The future of investment adviser oversight
  • Mutual fund distribution related issues
  • Investment management compliance hot buttons
  • Current issues of the day for alternative asset managers
  • Section 36(b) cases and other recent investment management litigation
  • Enforcement trends in the asset management area
  • Ethics for the investment management practitioner

 

Special Feature

  • Earn one hour of Ethics credit

 

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, the Commodity Exchange Act of 1974, ERISA and other relevant laws.


PLI Group Discounts

Groups of 4-14 from the same organization, all registering at the same time, for a PLI program scheduled for presentation at the same site, are entitled to receive a group discount. For further discount information, please contact membership@pli.edu or call (800) 260-4PLI.

PLI Can Arrange Group Viewing to Your Firm

Contact the Groupcasts Department via email at groupcasts@pli.edu for more details.

Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

Day One: 9:00 a.m. - 4:30 p.m.

9:00 Opening Remarks

Barry P. Barbash, Paul F. Roye



9:15 Featured Speaker
  • Recent regulatory initiatives
  • Regulatory priorities
  • Priorities of the new SEC Chairman

Dalia Osman Blass



9:45 SEC Strategic Agenda
  • Liquidity management
  • Exchange-traded fund rule
  • Business continuity and transition planning
  • Investment Company reporting modernization
  • Amendments to Form ADV and Advisers Act rules
  • Stress-testing initiative
  • Exam priorities
  • MiFID II
  • Disclosure reassessment
  • Money-market fund regulation
  • Target date fund rules
  • Funds’ use of derivatives
  • Rethinking the role of fund directors
  • Effect of Treasury Department Report on the asset management industry

Barry P. Barbash, David W. Grim, Paul F. Roye



10:45 Networking Break

11:00 Investment Management: New Fiduciary World
  • The parameters of the DOL’s Fiduciary Rule and prospects for modification
  • Effects of the rule on investment advisers and other intermediaries
  • The specter of SEC initiatives
  • Litigation challenging the DOL Fiduciary Rule

Peter E. Haller (Panel Leader); Jason Bortz, Michael P. Kreps, Sarah ten Siethoff



12:00 Lunch

1:15 Technology in the Asset Management Industry
  • Cybersecurity as a continuing concern
  • The increased presence of robo advisors
  • Brave new world: the use of artificial intelligence

Barry P. Barbash (Panel Leader); Jennifer L. Klass, Lisa J. Sotto



2:15 Investment Management: Compliance and Inspections
  • Addressing key adviser and fund compliance issues
  • OC Exam priorities
  • Interacting with SEC staff
  • Increasing responsibilities of Compliance Officers

Paul F. Roye (Panel Leader); Philip L. Kirstein, Maria Gattuso, Daniel S. Kahl



3:15 Networking Break

3:30 Issues of the Day for Alternative Asset Managers
  • Allocation of expenses
  • Valuation of complex instruments
  • Dealing with co-investors

Barry P. Barbash (Panel Leader); Stephanie R. Breslow



4:30 Adjourn

Day Two: 9:00 a.m. - 12:45 p.m.

9:00 Investment Management: Enforcement and Litigation Trends
  • SEC Investment Management enforcement themes
  • Section 36(b) litigation
  • Litigation under the Securities Act of 1933 and the Securities Exchange Act of 1934
  • 401(k) plan litigation

Barry P. Barbash (Panel Leader); Anthony S. Kelly, Lori A. Martin, Sean M. Murphy



10:30 Exchange-Traded Funds
  • Managed ETFs
  • ETF trading matters
  • Regulatory initiatives

Barry P. Barbash (Panel Leader); Allison Fumai, Brian P. Murphy, Barry Pershkow



11:30 Networking Break

11:45 Investment Management: Ethics
  • SEC Rule of Professional Responsibility for issuer’s counsel
  • Dodd-Frank Act implications
  • Whistleblower anti-retaliation rules
  • The role of the investment adviser’s counsel in reporting material violations to fund counsel
  • Law firm advance conflicts waivers
  • The role of the lawyer as a gatekeeper to protect the public
  • Email and metadata issues

Michael S. Sackheim



12:45 Adjourn

Co-Chair(s)
Barry P. Barbash ~ Willkie Farr & Gallagher LLP
Paul F. Roye ~ Director, Capital Research and Management Company
Speaker(s)
Dalia Osman Blass ~ Director, Division of Investment Management, U.S. Securities and Exchange Commission
Jason Bortz ~ Senior Counsel, Senior Vice President, Capital Research and Management Company
Stephanie R. Breslow ~ Schulte Roth & Zabel LLP
Allison Fumai ~ Dechert LLP
Maria Gattuso ~ Deloitte & Touche LLP
David W. Grim ~ Former Director, Division of Investment Management, U.S. Securities and Exchange Commission
Peter E. Haller ~ Willkie Farr & Gallagher LLP
Daniel S. Kahl ~ Chief Counsel and Associate Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Anthony S. Kelly ~ Co-Chief, Asset Management Unit, Division of Enforcement , U.S. Securities and Exchange Commission
Philip L. Kirstein ~ Former Senior Officer & Independent Compliance Officer, AllianceBernstein Mutual Funds
Jennifer L. Klass ~ Morgan,Lewis & Bockius LLP
Michael P. Kreps ~ Groom Law Group
Lori A. Martin ~ WilmerHale LLP
Brian P. Murphy ~ Senior Counsel/Manager, Vanguard Group, Inc.
Sean M. Murphy ~ Milbank, Tweed, Hadley & McCloy LLP
Barry Pershkow ~ Chapman and Cutler LLP
Michael S. Sackheim ~ Sidley Austin LLP
Lisa J. Sotto ~ Hunton & Williams LLP
Sarah ten Siethoff ~ Deputy Associate Director, Rulemaking Office, Division of Investment Management, U.S. Securities and Exchange Commission
Program Attorney(s)
Justin Capuano ~ Program Attorney, Practising Law Institute

New York City Seminar Location

PLI New York Center
, 1177 Avenue of the Americas, (2nd floor), entrance on 45th Street, New York, New York 10036. (800) 260-4754.

New York City Hotel Accommodations

Crowne Plaza Times Square Manhattan, 1605 Broadway (at 48th Street), New York, NY 10019 (212) 977-4000. When calling, mention Practising Law Institute. You can also make reservations online to access PLI's rates.

The Muse, 130 West 46th Street, New York, NY 10036. Please call reservations at 1-800-546-7866. When calling, please mention Practising Law Institute and rate code PLII. You can also Book Online- Kimpton.

Millennium Broadway Hotel, 145 West 44th Street, New York, NY 10036. Please call reservations at 1-800-622-5569. When calling, please mention Practising Law Institute. You can also book online.

Hyatt Times Square, 135 W. 45th Street, New York, NY 10036. For reservations, please call (646) 364-1234. When calling mention rate code CR56218 or Practising Law Institute.

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama: PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Alaska:  All PLI products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Arizona:  PLI’s live seminars qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

California:  PLI’s live seminars qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All PLI products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Connecticut: Effective January 1, 2017, all PLI products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Delaware:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Florida:  All PLI products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Georgia:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Hawaii:  All PLI products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Idaho:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Illinois: All PLI products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Indiana:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Iowa:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Kansas:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Louisiana:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Maine:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Minnesota:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Mississippi:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Missouri:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Montana:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Nebraska:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Nevada:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

New Hampshire:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

New Jersey:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

New Mexico:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

New York

Experienced Attorneys:  All PLI products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Newly Admitted Attorneys:  PLI’s transitional live seminars can be used to fulfill the requirements for newly admitted attorneys. All credit categories may be earned via transitional live seminars.

North Carolina:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars

North Dakota:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Ohio:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Oklahoma:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Oregon:  All PLI products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Pennsylvania: PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Puerto Rico:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Rhode Island:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

South Carolina:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Tennessee:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Texas:  All PLI products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Utah:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Vermont:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Virgin Islands:  All PLI products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Virginia:  PLI’s live seminars qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

West Virginia:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Wisconsin:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Wyoming:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live seminars qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  PLI’s live seminars qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC): PLI’s live seminars can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live seminars qualify as “live” credit. There is no limit to the number of points an attorney can earn via live seminars.

United Kingdom (CPD-UK):  PLI’s live seminars can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s live seminars qualify as “live” credit in all Australian jurisdictions. There is no limit to the number of credits an attorney can earn via live seminars.

Other Credit Types

CPE Credit (NASBA): PLI’s live seminars qualify as “Group-Live delivery” credit.

IRS Continuing Education (IRS-CE): PLI’s live seminars may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  PLI’s live seminars may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  PLI’s live seminars may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live seminars may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s live seminars qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  PLI’s live seminars qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live programs.

Certified Anti-Money Laundering Specialists (CAMS):  PLI’s live seminars may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  PLI’s live seminars may fulfill SW CPE credit requirements.

American Bankers Association Professional Certification (ABA):  PLI’s live seminars may fulfill ABA credit requirements.

 

Why You Should Attend

At this program you will hear expert panelists discuss significant business, legal, and technological developments in the investment management area over the past year and learn about important regulatory initiatives.

 

What You Will Learn

  • The SEC’s regulatory agenda under a new administration
  • The impact of technology on investment management
  • Liquidity management and derivatives regulation
  • A review of new SEC staff guidance
  • Current exchange-traded funds issues
  • Fund and advisers reporting regimes
  • Coping with the Department of Labor’s fiduciary rule and best interest contract exemption
  • The potential SEC fiduciary rule
  • The changing role of independent directors and trustees and other governance matters
  • Systemic regulation and the asset management business
  • The future of investment adviser oversight
  • Mutual fund distribution related issues
  • Investment management compliance hot buttons
  • Current issues of the day for alternative asset managers
  • Section 36(b) cases and other recent investment management litigation
  • Enforcement trends in the asset management area
  • Ethics for the investment management practitioner

 

Special Feature

  • Earn one hour of Ethics credit

 

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, the Commodity Exchange Act of 1974, ERISA and other relevant laws.


PLI Group Discounts

Groups of 4-14 from the same organization, all registering at the same time, for a PLI program scheduled for presentation at the same site, are entitled to receive a group discount. For further discount information, please contact membership@pli.edu or call (800) 260-4PLI.

PLI Can Arrange Group Viewing to Your Firm

Contact the Groupcasts Department via email at groupcasts@pli.edu for more details.

Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

Day One: 9:00 a.m. - 4:30 p.m.

9:00 Opening Remarks

Barry P. Barbash, Paul F. Roye



9:15 Featured Speaker
  • Recent regulatory initiatives
  • Regulatory priorities
  • Priorities of the new SEC Chairman

Dalia Osman Blass



9:45 SEC Strategic Agenda
  • Liquidity management
  • Exchange-traded fund rule
  • Business continuity and transition planning
  • Investment Company reporting modernization
  • Amendments to Form ADV and Advisers Act rules
  • Stress-testing initiative
  • Exam priorities
  • MiFID II
  • Disclosure reassessment
  • Money-market fund regulation
  • Target date fund rules
  • Funds’ use of derivatives
  • Rethinking the role of fund directors
  • Effect of Treasury Department Report on the asset management industry

Barry P. Barbash, David W. Grim, Paul F. Roye



10:45 Networking Break

11:00 Investment Management: New Fiduciary World
  • The parameters of the DOL’s Fiduciary Rule and prospects for modification
  • Effects of the rule on investment advisers and other intermediaries
  • The specter of SEC initiatives
  • Litigation challenging the DOL Fiduciary Rule

Peter E. Haller (Panel Leader); Jason Bortz, Michael P. Kreps, Sarah ten Siethoff



12:00 Lunch

1:15 Technology in the Asset Management Industry
  • Cybersecurity as a continuing concern
  • The increased presence of robo advisors
  • Brave new world: the use of artificial intelligence

Barry P. Barbash (Panel Leader); Jennifer L. Klass, Lisa J. Sotto



2:15 Investment Management: Compliance and Inspections
  • Addressing key adviser and fund compliance issues
  • OC Exam priorities
  • Interacting with SEC staff
  • Increasing responsibilities of Compliance Officers

Paul F. Roye (Panel Leader); Philip L. Kirstein, Maria Gattuso, Daniel S. Kahl



3:15 Networking Break

3:30 Issues of the Day for Alternative Asset Managers
  • Allocation of expenses
  • Valuation of complex instruments
  • Dealing with co-investors

Barry P. Barbash (Panel Leader); Stephanie R. Breslow



4:30 Adjourn

Day Two: 9:00 a.m. - 12:45 p.m.

9:00 Investment Management: Enforcement and Litigation Trends
  • SEC Investment Management enforcement themes
  • Section 36(b) litigation
  • Litigation under the Securities Act of 1933 and the Securities Exchange Act of 1934
  • 401(k) plan litigation

Barry P. Barbash (Panel Leader); Anthony S. Kelly, Lori A. Martin, Sean M. Murphy



10:30 Exchange-Traded Funds
  • Managed ETFs
  • ETF trading matters
  • Regulatory initiatives

Barry P. Barbash (Panel Leader); Allison Fumai, Brian P. Murphy, Barry Pershkow



11:30 Networking Break

11:45 Investment Management: Ethics
  • SEC Rule of Professional Responsibility for issuer’s counsel
  • Dodd-Frank Act implications
  • Whistleblower anti-retaliation rules
  • The role of the investment adviser’s counsel in reporting material violations to fund counsel
  • Law firm advance conflicts waivers
  • The role of the lawyer as a gatekeeper to protect the public
  • Email and metadata issues

Michael S. Sackheim



12:45 Adjourn

Co-Chair(s)
Barry P. Barbash ~ Willkie Farr & Gallagher LLP
Paul F. Roye ~ Director, Capital Research and Management Company
Speaker(s)
Dalia Osman Blass ~ Director, Division of Investment Management, U.S. Securities and Exchange Commission
Jason Bortz ~ Senior Counsel, Senior Vice President, Capital Research and Management Company
Stephanie R. Breslow ~ Schulte Roth & Zabel LLP
Allison Fumai ~ Dechert LLP
Maria Gattuso ~ Deloitte & Touche LLP
David W. Grim ~ Former Director, Division of Investment Management, U.S. Securities and Exchange Commission
Peter E. Haller ~ Willkie Farr & Gallagher LLP
Daniel S. Kahl ~ Chief Counsel and Associate Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Anthony S. Kelly ~ Co-Chief, Asset Management Unit, Division of Enforcement , U.S. Securities and Exchange Commission
Philip L. Kirstein ~ Former Senior Officer & Independent Compliance Officer, AllianceBernstein Mutual Funds
Jennifer L. Klass ~ Morgan,Lewis & Bockius LLP
Michael P. Kreps ~ Groom Law Group
Lori A. Martin ~ WilmerHale LLP
Brian P. Murphy ~ Senior Counsel/Manager, Vanguard Group, Inc.
Sean M. Murphy ~ Milbank, Tweed, Hadley & McCloy LLP
Barry Pershkow ~ Chapman and Cutler LLP
Michael S. Sackheim ~ Sidley Austin LLP
Lisa J. Sotto ~ Hunton & Williams LLP
Sarah ten Siethoff ~ Deputy Associate Director, Rulemaking Office, Division of Investment Management, U.S. Securities and Exchange Commission
Program Attorney(s)
Justin Capuano ~ Program Attorney, Practising Law Institute
General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.

PLI’s live and on-demand webcasts are single-user license products intended for an individual registrant only. Credit will be issued only to the individual registered. If two or more individuals wish to participate in a webcast and receive credit, PLI would be happy to provide a Groupcast – group viewing of a webcast. To schedule a Groupcast, please contact PLI at groupcasts@pli.edu.


U.S. MCLE States

Alabama:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Alaska:  All PLI products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Arizona:  PLI’s live webcasts qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

California:  PLI’s live webcasts qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All PLI products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Connecticut: Effective January 1, 2017, all PLI products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Delaware:  PLI’s live webcasts qualify as “eCLE” credit. Attorneys are limited to 12 credits of eCLE per reporting period.

Florida:  All PLI products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Georgia:  PLI’s live webcasts qualify as “in-house” credit. Attorneys are limited to 6 in-house credits per reporting period.

Hawaii:  All PLI products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Idaho:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Illinois:  All PLI products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Indiana:  PLI’s live webcasts qualify as “distance education” credit. Attorneys are limited to 9 credits of distance education per reporting period.

Iowa:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Kansas:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Kentucky:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Louisiana:  PLI’s live webcasts qualify as “self-study” credit. Attorneys are limited to 4 credits of self-study per reporting period.

Maine:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Minnesota:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Mississippi:  PLI’s live webcasts qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Montana:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Nebraska:  PLI’s live webcasts qualify as “computer-based learning” credit. Attorneys are limited to 5 credits of computer-based learning per reporting period.

Nevada:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

New Hampshire:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

New Jersey:  PLI’s live webcasts qualify as “alternative verifiable learning formats” credit. Attorneys are limited to 12 credits of alternative verifiable learning formats per reporting period.

New Mexico:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

New York

Experienced Attorneys:  All PLI products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Newly Admitted Attorneys:  PLI’s transitional live webcasts can be used to fulfill the requirements for New York newly admitted attorneys. Ethics credit, professional practice credit, and law practice management credit may be earned via transitional live webcasts. Skills credits may not be earned via live webcasts.

North Carolina:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

North Dakota:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Ohio:  PLI’s live webcasts qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Oklahoma:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Oregon:  All PLI products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Pennsylvania:  PLI’s live webcasts qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Puerto Rico:  PLI’s live webcasts qualify as “non-traditional” credit. Attorneys are limited to 8 credits of non-traditional programs per reporting period.

Rhode Island:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

South Carolina:  PLI’s live webcasts qualify as “alternatively delivered” credit. Attorneys are limited to 6 credits of alternatively delivered programs per reporting period.

Tennessee:  PLI’s live webcasts qualify as “distance learning” credit. Attorneys are limited to 8 credits of distance learning per reporting period.

Texas:  All PLI products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Utah:  PLI’s live webcasts qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Virgin Islands:  All PLI products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Virginia:  PLI’s live webcasts qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

West Virginia:  PLI’s live webcasts qualify as “online” credit. Attorneys are limited to 12 credits of online instruction per reporting period.

Wisconsin:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Wyoming:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live webcasts qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  PLI’s live webcasts qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  PLI’s live webcasts can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live webcasts qualify as “distance learning” credit. Attorneys are limited to 15 points of distance learning programs per reporting period.

United Kingdom (CPD-UK):  PLI’s live webcasts can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s live webcasts may fulfill Australia’s CPD requirements. Credit limits for live webcasts vary according to jurisdiction. Please refer to your jurisdiction’s CPD information page for specifics.

Other Credit Types

CPE Credit (NASBA):  PLI’s live webcasts qualify as “Group-Internet-Based” (GIB) credit.

IRS Continuing Education (IRS-CE):  PLI’s live webcasts may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  PLI’s live webcasts may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  PLI’s live webcasts may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live webcasts may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s live webcasts qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  PLI’s live webcasts qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live programs.

Certified Anti-Money Laundering Specialists (CAMS):  PLI’s live webcasts may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  PLI’s live webcasts may fulfill SW CPE credit requirements.

American Bankers Association Professional Certification (ABA):  PLI’s live webcasts may fulfill ABA credit requirements.

 

Why You Should Attend

At this program you will hear expert panelists discuss significant business, legal, and technological developments in the investment management area over the past year and learn about important regulatory initiatives.

 

What You Will Learn

  • The SEC’s regulatory agenda under a new administration
  • The impact of technology on investment management
  • Liquidity management and derivatives regulation
  • A review of new SEC staff guidance
  • Current exchange-traded funds issues
  • Fund and advisers reporting regimes
  • Coping with the Department of Labor’s fiduciary rule and best interest contract exemption
  • The potential SEC fiduciary rule
  • The changing role of independent directors and trustees and other governance matters
  • Systemic regulation and the asset management business
  • The future of investment adviser oversight
  • Mutual fund distribution related issues
  • Investment management compliance hot buttons
  • Current issues of the day for alternative asset managers
  • Section 36(b) cases and other recent investment management litigation
  • Enforcement trends in the asset management area
  • Ethics for the investment management practitioner

 

Special Feature

  • Earn one hour of Ethics credit

 

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, the Commodity Exchange Act of 1974, ERISA and other relevant laws.


PLI Group Discounts

Groups of 4-14 from the same organization, all registering at the same time, for a PLI program scheduled for presentation at the same site, are entitled to receive a group discount. For further discount information, please contact membership@pli.edu or call (800) 260-4PLI.

PLI Can Arrange Group Viewing to Your Firm

Contact the Groupcasts Department via email at groupcasts@pli.edu for more details.

Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

Day One: 9:00 a.m. - 4:30 p.m.

9:00 Opening Remarks

Barry P. Barbash, Paul F. Roye



9:15 Featured Speaker
  • Recent regulatory initiatives
  • Regulatory priorities
  • Priorities of the new SEC Chairman

Dalia Osman Blass



9:45 SEC Strategic Agenda
  • Liquidity management
  • Exchange-traded fund rule
  • Business continuity and transition planning
  • Investment Company reporting modernization
  • Amendments to Form ADV and Advisers Act rules
  • Stress-testing initiative
  • Exam priorities
  • MiFID II
  • Disclosure reassessment
  • Money-market fund regulation
  • Target date fund rules
  • Funds’ use of derivatives
  • Rethinking the role of fund directors
  • Effect of Treasury Department Report on the asset management industry

Barry P. Barbash, David W. Grim, Paul F. Roye



10:45 Networking Break

11:00 Investment Management: New Fiduciary World
  • The parameters of the DOL’s Fiduciary Rule and prospects for modification
  • Effects of the rule on investment advisers and other intermediaries
  • The specter of SEC initiatives
  • Litigation challenging the DOL Fiduciary Rule

Peter E. Haller (Panel Leader); Jason Bortz, Michael P. Kreps, Sarah ten Siethoff



12:00 Lunch

1:15 Technology in the Asset Management Industry
  • Cybersecurity as a continuing concern
  • The increased presence of robo advisors
  • Brave new world: the use of artificial intelligence

Barry P. Barbash (Panel Leader); Jennifer L. Klass, Lisa J. Sotto



2:15 Investment Management: Compliance and Inspections
  • Addressing key adviser and fund compliance issues
  • OC Exam priorities
  • Interacting with SEC staff
  • Increasing responsibilities of Compliance Officers

Paul F. Roye (Panel Leader); Philip L. Kirstein, Maria Gattuso, Daniel S. Kahl



3:15 Networking Break

3:30 Issues of the Day for Alternative Asset Managers
  • Allocation of expenses
  • Valuation of complex instruments
  • Dealing with co-investors

Barry P. Barbash (Panel Leader); Stephanie R. Breslow



4:30 Adjourn

Day Two: 9:00 a.m. - 12:45 p.m.

9:00 Investment Management: Enforcement and Litigation Trends
  • SEC Investment Management enforcement themes
  • Section 36(b) litigation
  • Litigation under the Securities Act of 1933 and the Securities Exchange Act of 1934
  • 401(k) plan litigation

Barry P. Barbash (Panel Leader); Anthony S. Kelly, Lori A. Martin, Sean M. Murphy



10:30 Exchange-Traded Funds
  • Managed ETFs
  • ETF trading matters
  • Regulatory initiatives

Barry P. Barbash (Panel Leader); Allison Fumai, Brian P. Murphy, Barry Pershkow



11:30 Networking Break

11:45 Investment Management: Ethics
  • SEC Rule of Professional Responsibility for issuer’s counsel
  • Dodd-Frank Act implications
  • Whistleblower anti-retaliation rules
  • The role of the investment adviser’s counsel in reporting material violations to fund counsel
  • Law firm advance conflicts waivers
  • The role of the lawyer as a gatekeeper to protect the public
  • Email and metadata issues

Michael S. Sackheim



12:45 Adjourn

Co-Chair(s)
Barry P. Barbash ~ Willkie Farr & Gallagher LLP
Paul F. Roye ~ Director, Capital Research and Management Company
Speaker(s)
Dalia Osman Blass ~ Director, Division of Investment Management, U.S. Securities and Exchange Commission
Jason Bortz ~ Senior Counsel, Senior Vice President, Capital Research and Management Company
Stephanie R. Breslow ~ Schulte Roth & Zabel LLP
Allison Fumai ~ Dechert LLP
Maria Gattuso ~ Deloitte & Touche LLP
David W. Grim ~ Former Director, Division of Investment Management, U.S. Securities and Exchange Commission
Peter E. Haller ~ Willkie Farr & Gallagher LLP
Daniel S. Kahl ~ Chief Counsel and Associate Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Anthony S. Kelly ~ Co-Chief, Asset Management Unit, Division of Enforcement , U.S. Securities and Exchange Commission
Philip L. Kirstein ~ Former Senior Officer & Independent Compliance Officer, AllianceBernstein Mutual Funds
Jennifer L. Klass ~ Morgan,Lewis & Bockius LLP
Michael P. Kreps ~ Groom Law Group
Lori A. Martin ~ WilmerHale LLP
Brian P. Murphy ~ Senior Counsel/Manager, Vanguard Group, Inc.
Sean M. Murphy ~ Milbank, Tweed, Hadley & McCloy LLP
Barry Pershkow ~ Chapman and Cutler LLP
Michael S. Sackheim ~ Sidley Austin LLP
Lisa J. Sotto ~ Hunton & Williams LLP
Sarah ten Siethoff ~ Deputy Associate Director, Rulemaking Office, Division of Investment Management, U.S. Securities and Exchange Commission
Program Attorney(s)
Justin Capuano ~ Program Attorney, Practising Law Institute

Mechanicsburg Groupcast Location

Pennsylvania Bar Institute, 5080 Ritter Rd., Mechanicsburg PA 17055, (800) 932-4637. Click here for directions.

Mechanicsburg Groupcast Hotel Accommodations

Below is a list of hotel accommodations suggested by the Pennsylvania Bar Institute:

Hampton Inn Harrisburg-West, 4950 Ritter Road, Mechanicsburg, Pennsylvania, USA 17055. Tel: 717-691-1300. Fax: 717-691-9692.

Homewood Suites by Hilton® Harrisburg-West Hershey Area, 5001 Ritter Road, Mechanicsburg, Pennsylvania, United States 17055. Tel: 1-717-697-4900. Fax: 1-717-697-9101.

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Alaska:  All PLI products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Arizona:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

California:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All PLI products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Connecticut: Effective January 1, 2017, all PLI products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Delaware:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Florida:  All PLI products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Georgia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Hawaii:  All PLI products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Idaho:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Illinois:  All PLI products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Indiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Iowa:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Kansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Louisiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Maine:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Minnesota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Mississippi:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Montana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nebraska:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nevada:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Hampshire:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Jersey:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “alternative verifiable learning formats” credit. Attorneys are limited to 12 credits of alternative verifiable learning formats per reporting period.

New Mexico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New York

Experienced Attorneys:  All PLI products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Newly Admitted Attorneys:  PLI’s transitional live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can be used to fulfill the requirements for New York newly admitted attorneys. Ethics credit, professional practice credit, and law practice management credit may be earned via transitional live groupcasts. Skills credits may not be earned via live groupcasts.

North Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

North Dakota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Ohio:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oklahoma:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oregon:  All PLI products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Pennsylvania:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Puerto Rico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Rhode Island:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

South Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Tennessee:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Texas:  All PLI products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Utah:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Virgin Islands:  All PLI products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

West Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wisconsin:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wyoming:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.


CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of points an attorney can earn via live groupcasts.

United Kingdom (CPD-UK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Australia’s CPD requirements. Credit limits for live groupcasts vary according to jurisdiction. Please refer to your jurisdiction’s CPD information page for specifics.


Other Credit Types

CPE Credit (NASBA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “Group-Live delivery” credit.

IRS Continuing Education (IRS-CE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live groupcasts.

Certified Anti-Money Laundering Specialists (CAMS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill SW CPE credit requirements.

American Bankers Association Professional Certification (ABA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill ABA credit requirements.

 

Why You Should Attend

At this program you will hear expert panelists discuss significant business, legal, and technological developments in the investment management area over the past year and learn about important regulatory initiatives.

 

What You Will Learn

  • The SEC’s regulatory agenda under a new administration
  • The impact of technology on investment management
  • Liquidity management and derivatives regulation
  • A review of new SEC staff guidance
  • Current exchange-traded funds issues
  • Fund and advisers reporting regimes
  • Coping with the Department of Labor’s fiduciary rule and best interest contract exemption
  • The potential SEC fiduciary rule
  • The changing role of independent directors and trustees and other governance matters
  • Systemic regulation and the asset management business
  • The future of investment adviser oversight
  • Mutual fund distribution related issues
  • Investment management compliance hot buttons
  • Current issues of the day for alternative asset managers
  • Section 36(b) cases and other recent investment management litigation
  • Enforcement trends in the asset management area
  • Ethics for the investment management practitioner

 

Special Feature

  • Earn one hour of Ethics credit

 

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, the Commodity Exchange Act of 1974, ERISA and other relevant laws.


PLI Group Discounts

Groups of 4-14 from the same organization, all registering at the same time, for a PLI program scheduled for presentation at the same site, are entitled to receive a group discount. For further discount information, please contact membership@pli.edu or call (800) 260-4PLI.

PLI Can Arrange Group Viewing to Your Firm

Contact the Groupcasts Department via email at groupcasts@pli.edu for more details.

Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

Day One: 9:00 a.m. - 4:30 p.m.

9:00 Opening Remarks

Barry P. Barbash, Paul F. Roye



9:15 Featured Speaker
  • Recent regulatory initiatives
  • Regulatory priorities
  • Priorities of the new SEC Chairman

Dalia Osman Blass



9:45 SEC Strategic Agenda
  • Liquidity management
  • Exchange-traded fund rule
  • Business continuity and transition planning
  • Investment Company reporting modernization
  • Amendments to Form ADV and Advisers Act rules
  • Stress-testing initiative
  • Exam priorities
  • MiFID II
  • Disclosure reassessment
  • Money-market fund regulation
  • Target date fund rules
  • Funds’ use of derivatives
  • Rethinking the role of fund directors
  • Effect of Treasury Department Report on the asset management industry

Barry P. Barbash, David W. Grim, Paul F. Roye



10:45 Networking Break

11:00 Investment Management: New Fiduciary World
  • The parameters of the DOL’s Fiduciary Rule and prospects for modification
  • Effects of the rule on investment advisers and other intermediaries
  • The specter of SEC initiatives
  • Litigation challenging the DOL Fiduciary Rule

Peter E. Haller (Panel Leader); Jason Bortz, Michael P. Kreps, Sarah ten Siethoff



12:00 Lunch

1:15 Technology in the Asset Management Industry
  • Cybersecurity as a continuing concern
  • The increased presence of robo advisors
  • Brave new world: the use of artificial intelligence

Barry P. Barbash (Panel Leader); Jennifer L. Klass, Lisa J. Sotto



2:15 Investment Management: Compliance and Inspections
  • Addressing key adviser and fund compliance issues
  • OC Exam priorities
  • Interacting with SEC staff
  • Increasing responsibilities of Compliance Officers

Paul F. Roye (Panel Leader); Philip L. Kirstein, Maria Gattuso, Daniel S. Kahl



3:15 Networking Break

3:30 Issues of the Day for Alternative Asset Managers
  • Allocation of expenses
  • Valuation of complex instruments
  • Dealing with co-investors

Barry P. Barbash (Panel Leader); Stephanie R. Breslow



4:30 Adjourn

Day Two: 9:00 a.m. - 12:45 p.m.

9:00 Investment Management: Enforcement and Litigation Trends
  • SEC Investment Management enforcement themes
  • Section 36(b) litigation
  • Litigation under the Securities Act of 1933 and the Securities Exchange Act of 1934
  • 401(k) plan litigation

Barry P. Barbash (Panel Leader); Anthony S. Kelly, Lori A. Martin, Sean M. Murphy



10:30 Exchange-Traded Funds
  • Managed ETFs
  • ETF trading matters
  • Regulatory initiatives

Barry P. Barbash (Panel Leader); Allison Fumai, Brian P. Murphy, Barry Pershkow



11:30 Networking Break

11:45 Investment Management: Ethics
  • SEC Rule of Professional Responsibility for issuer’s counsel
  • Dodd-Frank Act implications
  • Whistleblower anti-retaliation rules
  • The role of the investment adviser’s counsel in reporting material violations to fund counsel
  • Law firm advance conflicts waivers
  • The role of the lawyer as a gatekeeper to protect the public
  • Email and metadata issues

Michael S. Sackheim



12:45 Adjourn

Co-Chair(s)
Barry P. Barbash ~ Willkie Farr & Gallagher LLP
Paul F. Roye ~ Director, Capital Research and Management Company
Speaker(s)
Dalia Osman Blass ~ Director, Division of Investment Management, U.S. Securities and Exchange Commission
Jason Bortz ~ Senior Counsel, Senior Vice President, Capital Research and Management Company
Stephanie R. Breslow ~ Schulte Roth & Zabel LLP
Allison Fumai ~ Dechert LLP
Maria Gattuso ~ Deloitte & Touche LLP
David W. Grim ~ Former Director, Division of Investment Management, U.S. Securities and Exchange Commission
Peter E. Haller ~ Willkie Farr & Gallagher LLP
Daniel S. Kahl ~ Chief Counsel and Associate Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Anthony S. Kelly ~ Co-Chief, Asset Management Unit, Division of Enforcement , U.S. Securities and Exchange Commission
Philip L. Kirstein ~ Former Senior Officer & Independent Compliance Officer, AllianceBernstein Mutual Funds
Jennifer L. Klass ~ Morgan,Lewis & Bockius LLP
Michael P. Kreps ~ Groom Law Group
Lori A. Martin ~ WilmerHale LLP
Brian P. Murphy ~ Senior Counsel/Manager, Vanguard Group, Inc.
Sean M. Murphy ~ Milbank, Tweed, Hadley & McCloy LLP
Barry Pershkow ~ Chapman and Cutler LLP
Michael S. Sackheim ~ Sidley Austin LLP
Lisa J. Sotto ~ Hunton & Williams LLP
Sarah ten Siethoff ~ Deputy Associate Director, Rulemaking Office, Division of Investment Management, U.S. Securities and Exchange Commission
Program Attorney(s)
Justin Capuano ~ Program Attorney, Practising Law Institute
Cleveland Groupcast Location

The Cleveland Metropolitan Bar Association, 1375 E. 9th Street – Floor 2, Cleveland, Ohio 44114. 216-696-2404.

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Alaska:  All PLI products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Arizona:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

California:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All PLI products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Connecticut: Effective January 1, 2017, all PLI products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Delaware:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Florida:  All PLI products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Georgia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Hawaii:  All PLI products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Idaho:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Illinois:  All PLI products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Indiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Iowa:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Kansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Louisiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Maine:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Minnesota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Mississippi:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Montana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nebraska:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nevada:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Hampshire:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Jersey:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “alternative verifiable learning formats” credit. Attorneys are limited to 12 credits of alternative verifiable learning formats per reporting period.

New Mexico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New York

Experienced Attorneys:  All PLI products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Newly Admitted Attorneys:  PLI’s transitional live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can be used to fulfill the requirements for New York newly admitted attorneys. Ethics credit, professional practice credit, and law practice management credit may be earned via transitional live groupcasts. Skills credits may not be earned via live groupcasts.

North Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

North Dakota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Ohio:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oklahoma:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oregon:  All PLI products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Pennsylvania:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Puerto Rico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Rhode Island:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

South Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Tennessee:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Texas:  All PLI products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Utah:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Virgin Islands:  All PLI products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

West Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wisconsin:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wyoming:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.


CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of points an attorney can earn via live groupcasts.

United Kingdom (CPD-UK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Australia’s CPD requirements. Credit limits for live groupcasts vary according to jurisdiction. Please refer to your jurisdiction’s CPD information page for specifics.


Other Credit Types

CPE Credit (NASBA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “Group-Live delivery” credit.

IRS Continuing Education (IRS-CE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live groupcasts.

Certified Anti-Money Laundering Specialists (CAMS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill SW CPE credit requirements.

American Bankers Association Professional Certification (ABA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill ABA credit requirements.

 

Why You Should Attend

At this program you will hear expert panelists discuss significant business, legal, and technological developments in the investment management area over the past year and learn about important regulatory initiatives.

 

What You Will Learn

  • The SEC’s regulatory agenda under a new administration
  • The impact of technology on investment management
  • Liquidity management and derivatives regulation
  • A review of new SEC staff guidance
  • Current exchange-traded funds issues
  • Fund and advisers reporting regimes
  • Coping with the Department of Labor’s fiduciary rule and best interest contract exemption
  • The potential SEC fiduciary rule
  • The changing role of independent directors and trustees and other governance matters
  • Systemic regulation and the asset management business
  • The future of investment adviser oversight
  • Mutual fund distribution related issues
  • Investment management compliance hot buttons
  • Current issues of the day for alternative asset managers
  • Section 36(b) cases and other recent investment management litigation
  • Enforcement trends in the asset management area
  • Ethics for the investment management practitioner

 

Special Feature

  • Earn one hour of Ethics credit

 

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, the Commodity Exchange Act of 1974, ERISA and other relevant laws.


PLI Group Discounts

Groups of 4-14 from the same organization, all registering at the same time, for a PLI program scheduled for presentation at the same site, are entitled to receive a group discount. For further discount information, please contact membership@pli.edu or call (800) 260-4PLI.

PLI Can Arrange Group Viewing to Your Firm

Contact the Groupcasts Department via email at groupcasts@pli.edu for more details.

Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

Day One: 9:00 a.m. - 4:30 p.m.

9:00 Opening Remarks

Barry P. Barbash, Paul F. Roye



9:15 Featured Speaker
  • Recent regulatory initiatives
  • Regulatory priorities
  • Priorities of the new SEC Chairman

Dalia Osman Blass



9:45 SEC Strategic Agenda
  • Liquidity management
  • Exchange-traded fund rule
  • Business continuity and transition planning
  • Investment Company reporting modernization
  • Amendments to Form ADV and Advisers Act rules
  • Stress-testing initiative
  • Exam priorities
  • MiFID II
  • Disclosure reassessment
  • Money-market fund regulation
  • Target date fund rules
  • Funds’ use of derivatives
  • Rethinking the role of fund directors
  • Effect of Treasury Department Report on the asset management industry

Barry P. Barbash, David W. Grim, Paul F. Roye



10:45 Networking Break

11:00 Investment Management: New Fiduciary World
  • The parameters of the DOL’s Fiduciary Rule and prospects for modification
  • Effects of the rule on investment advisers and other intermediaries
  • The specter of SEC initiatives
  • Litigation challenging the DOL Fiduciary Rule

Peter E. Haller (Panel Leader); Jason Bortz, Michael P. Kreps, Sarah ten Siethoff



12:00 Lunch

1:15 Technology in the Asset Management Industry
  • Cybersecurity as a continuing concern
  • The increased presence of robo advisors
  • Brave new world: the use of artificial intelligence

Barry P. Barbash (Panel Leader); Jennifer L. Klass, Lisa J. Sotto



2:15 Investment Management: Compliance and Inspections
  • Addressing key adviser and fund compliance issues
  • OC Exam priorities
  • Interacting with SEC staff
  • Increasing responsibilities of Compliance Officers

Paul F. Roye (Panel Leader); Philip L. Kirstein, Maria Gattuso, Daniel S. Kahl



3:15 Networking Break

3:30 Issues of the Day for Alternative Asset Managers
  • Allocation of expenses
  • Valuation of complex instruments
  • Dealing with co-investors

Barry P. Barbash (Panel Leader); Stephanie R. Breslow



4:30 Adjourn

Day Two: 9:00 a.m. - 12:45 p.m.

9:00 Investment Management: Enforcement and Litigation Trends
  • SEC Investment Management enforcement themes
  • Section 36(b) litigation
  • Litigation under the Securities Act of 1933 and the Securities Exchange Act of 1934
  • 401(k) plan litigation

Barry P. Barbash (Panel Leader); Anthony S. Kelly, Lori A. Martin, Sean M. Murphy



10:30 Exchange-Traded Funds
  • Managed ETFs
  • ETF trading matters
  • Regulatory initiatives

Barry P. Barbash (Panel Leader); Allison Fumai, Brian P. Murphy, Barry Pershkow



11:30 Networking Break

11:45 Investment Management: Ethics
  • SEC Rule of Professional Responsibility for issuer’s counsel
  • Dodd-Frank Act implications
  • Whistleblower anti-retaliation rules
  • The role of the investment adviser’s counsel in reporting material violations to fund counsel
  • Law firm advance conflicts waivers
  • The role of the lawyer as a gatekeeper to protect the public
  • Email and metadata issues

Michael S. Sackheim



12:45 Adjourn

Co-Chair(s)
Barry P. Barbash ~ Willkie Farr & Gallagher LLP
Paul F. Roye ~ Director, Capital Research and Management Company
Speaker(s)
Dalia Osman Blass ~ Director, Division of Investment Management, U.S. Securities and Exchange Commission
Jason Bortz ~ Senior Counsel, Senior Vice President, Capital Research and Management Company
Stephanie R. Breslow ~ Schulte Roth & Zabel LLP
Allison Fumai ~ Dechert LLP
Maria Gattuso ~ Deloitte & Touche LLP
David W. Grim ~ Former Director, Division of Investment Management, U.S. Securities and Exchange Commission
Peter E. Haller ~ Willkie Farr & Gallagher LLP
Daniel S. Kahl ~ Chief Counsel and Associate Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Anthony S. Kelly ~ Co-Chief, Asset Management Unit, Division of Enforcement , U.S. Securities and Exchange Commission
Philip L. Kirstein ~ Former Senior Officer & Independent Compliance Officer, AllianceBernstein Mutual Funds
Jennifer L. Klass ~ Morgan,Lewis & Bockius LLP
Michael P. Kreps ~ Groom Law Group
Lori A. Martin ~ WilmerHale LLP
Brian P. Murphy ~ Senior Counsel/Manager, Vanguard Group, Inc.
Sean M. Murphy ~ Milbank, Tweed, Hadley & McCloy LLP
Barry Pershkow ~ Chapman and Cutler LLP
Michael S. Sackheim ~ Sidley Austin LLP
Lisa J. Sotto ~ Hunton & Williams LLP
Sarah ten Siethoff ~ Deputy Associate Director, Rulemaking Office, Division of Investment Management, U.S. Securities and Exchange Commission
Program Attorney(s)
Justin Capuano ~ Program Attorney, Practising Law Institute
Atlanta Groupcast Location

Atlanta Bar Association, 400 International Tower, 229 Peachtree Street, NE, Atlanta, GA 30303-1601. (404) 521-0781.

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Alaska:  All PLI products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Arizona:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

California:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All PLI products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Connecticut: Effective January 1, 2017, all PLI products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Delaware:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Florida:  All PLI products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Georgia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Hawaii:  All PLI products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Idaho:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Illinois:  All PLI products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Indiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Iowa:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Kansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Louisiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Maine:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Minnesota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Mississippi:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Montana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nebraska:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nevada:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Hampshire:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Jersey:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “alternative verifiable learning formats” credit. Attorneys are limited to 12 credits of alternative verifiable learning formats per reporting period.

New Mexico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New York

Experienced Attorneys:  All PLI products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Newly Admitted Attorneys:  PLI’s transitional live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can be used to fulfill the requirements for New York newly admitted attorneys. Ethics credit, professional practice credit, and law practice management credit may be earned via transitional live groupcasts. Skills credits may not be earned via live groupcasts.

North Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

North Dakota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Ohio:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oklahoma:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oregon:  All PLI products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Pennsylvania:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Puerto Rico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Rhode Island:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

South Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Tennessee:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Texas:  All PLI products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Utah:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Virgin Islands:  All PLI products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

West Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wisconsin:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wyoming:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.


CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of points an attorney can earn via live groupcasts.

United Kingdom (CPD-UK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Australia’s CPD requirements. Credit limits for live groupcasts vary according to jurisdiction. Please refer to your jurisdiction’s CPD information page for specifics.


Other Credit Types

CPE Credit (NASBA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “Group-Live delivery” credit.

IRS Continuing Education (IRS-CE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live groupcasts.

Certified Anti-Money Laundering Specialists (CAMS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill SW CPE credit requirements.

American Bankers Association Professional Certification (ABA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill ABA credit requirements.

 

Why You Should Attend

At this program you will hear expert panelists discuss significant business, legal, and technological developments in the investment management area over the past year and learn about important regulatory initiatives.

 

What You Will Learn

  • The SEC’s regulatory agenda under a new administration
  • The impact of technology on investment management
  • Liquidity management and derivatives regulation
  • A review of new SEC staff guidance
  • Current exchange-traded funds issues
  • Fund and advisers reporting regimes
  • Coping with the Department of Labor’s fiduciary rule and best interest contract exemption
  • The potential SEC fiduciary rule
  • The changing role of independent directors and trustees and other governance matters
  • Systemic regulation and the asset management business
  • The future of investment adviser oversight
  • Mutual fund distribution related issues
  • Investment management compliance hot buttons
  • Current issues of the day for alternative asset managers
  • Section 36(b) cases and other recent investment management litigation
  • Enforcement trends in the asset management area
  • Ethics for the investment management practitioner

 

Special Feature

  • Earn one hour of Ethics credit

 

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, the Commodity Exchange Act of 1974, ERISA and other relevant laws.


PLI Group Discounts

Groups of 4-14 from the same organization, all registering at the same time, for a PLI program scheduled for presentation at the same site, are entitled to receive a group discount. For further discount information, please contact membership@pli.edu or call (800) 260-4PLI.

PLI Can Arrange Group Viewing to Your Firm

Contact the Groupcasts Department via email at groupcasts@pli.edu for more details.

Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

Day One: 9:00 a.m. - 4:30 p.m.

9:00 Opening Remarks

Barry P. Barbash, Paul F. Roye



9:15 Featured Speaker
  • Recent regulatory initiatives
  • Regulatory priorities
  • Priorities of the new SEC Chairman

Dalia Osman Blass



9:45 SEC Strategic Agenda
  • Liquidity management
  • Exchange-traded fund rule
  • Business continuity and transition planning
  • Investment Company reporting modernization
  • Amendments to Form ADV and Advisers Act rules
  • Stress-testing initiative
  • Exam priorities
  • MiFID II
  • Disclosure reassessment
  • Money-market fund regulation
  • Target date fund rules
  • Funds’ use of derivatives
  • Rethinking the role of fund directors
  • Effect of Treasury Department Report on the asset management industry

Barry P. Barbash, David W. Grim, Paul F. Roye



10:45 Networking Break

11:00 Investment Management: New Fiduciary World
  • The parameters of the DOL’s Fiduciary Rule and prospects for modification
  • Effects of the rule on investment advisers and other intermediaries
  • The specter of SEC initiatives
  • Litigation challenging the DOL Fiduciary Rule

Peter E. Haller (Panel Leader); Jason Bortz, Michael P. Kreps, Sarah ten Siethoff



12:00 Lunch

1:15 Technology in the Asset Management Industry
  • Cybersecurity as a continuing concern
  • The increased presence of robo advisors
  • Brave new world: the use of artificial intelligence

Barry P. Barbash (Panel Leader); Jennifer L. Klass, Lisa J. Sotto



2:15 Investment Management: Compliance and Inspections
  • Addressing key adviser and fund compliance issues
  • OC Exam priorities
  • Interacting with SEC staff
  • Increasing responsibilities of Compliance Officers

Paul F. Roye (Panel Leader); Philip L. Kirstein, Maria Gattuso, Daniel S. Kahl



3:15 Networking Break

3:30 Issues of the Day for Alternative Asset Managers
  • Allocation of expenses
  • Valuation of complex instruments
  • Dealing with co-investors

Barry P. Barbash (Panel Leader); Stephanie R. Breslow



4:30 Adjourn

Day Two: 9:00 a.m. - 12:45 p.m.

9:00 Investment Management: Enforcement and Litigation Trends
  • SEC Investment Management enforcement themes
  • Section 36(b) litigation
  • Litigation under the Securities Act of 1933 and the Securities Exchange Act of 1934
  • 401(k) plan litigation

Barry P. Barbash (Panel Leader); Anthony S. Kelly, Lori A. Martin, Sean M. Murphy



10:30 Exchange-Traded Funds
  • Managed ETFs
  • ETF trading matters
  • Regulatory initiatives

Barry P. Barbash (Panel Leader); Allison Fumai, Brian P. Murphy, Barry Pershkow



11:30 Networking Break

11:45 Investment Management: Ethics
  • SEC Rule of Professional Responsibility for issuer’s counsel
  • Dodd-Frank Act implications
  • Whistleblower anti-retaliation rules
  • The role of the investment adviser’s counsel in reporting material violations to fund counsel
  • Law firm advance conflicts waivers
  • The role of the lawyer as a gatekeeper to protect the public
  • Email and metadata issues

Michael S. Sackheim



12:45 Adjourn

Co-Chair(s)
Barry P. Barbash ~ Willkie Farr & Gallagher LLP
Paul F. Roye ~ Director, Capital Research and Management Company
Speaker(s)
Dalia Osman Blass ~ Director, Division of Investment Management, U.S. Securities and Exchange Commission
Jason Bortz ~ Senior Counsel, Senior Vice President, Capital Research and Management Company
Stephanie R. Breslow ~ Schulte Roth & Zabel LLP
Allison Fumai ~ Dechert LLP
Maria Gattuso ~ Deloitte & Touche LLP
David W. Grim ~ Former Director, Division of Investment Management, U.S. Securities and Exchange Commission
Peter E. Haller ~ Willkie Farr & Gallagher LLP
Daniel S. Kahl ~ Chief Counsel and Associate Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Anthony S. Kelly ~ Co-Chief, Asset Management Unit, Division of Enforcement , U.S. Securities and Exchange Commission
Philip L. Kirstein ~ Former Senior Officer & Independent Compliance Officer, AllianceBernstein Mutual Funds
Jennifer L. Klass ~ Morgan,Lewis & Bockius LLP
Michael P. Kreps ~ Groom Law Group
Lori A. Martin ~ WilmerHale LLP
Brian P. Murphy ~ Senior Counsel/Manager, Vanguard Group, Inc.
Sean M. Murphy ~ Milbank, Tweed, Hadley & McCloy LLP
Barry Pershkow ~ Chapman and Cutler LLP
Michael S. Sackheim ~ Sidley Austin LLP
Lisa J. Sotto ~ Hunton & Williams LLP
Sarah ten Siethoff ~ Deputy Associate Director, Rulemaking Office, Division of Investment Management, U.S. Securities and Exchange Commission
Program Attorney(s)
Justin Capuano ~ Program Attorney, Practising Law Institute

Philadelphia Groupcast Location

Pennsylvania Bar Institute, The CLE Conference Center, Wanamaker Building, 10th floor, Suite 1010, Center City Philadelphia (Juniper St. entrance, between 13th & Broad Sts., opposite City Hall). (800) 932-4637. Click here for directions.

Philadelphia Groupcast Hotel Accommodations

Below is a list of hotel accommodations suggested by the Pennsylvania Bar Institute:

Marriott Residence Inn

Ritz Carlton

Loews Philadelphia

Philadelphia Marriott Downtown

Hilton Garden Inn

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Alaska:  All PLI products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Arizona:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

California:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All PLI products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Connecticut: Effective January 1, 2017, all PLI products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Delaware:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Florida:  All PLI products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Georgia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Hawaii:  All PLI products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Idaho:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Illinois:  All PLI products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Indiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Iowa:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Kansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Louisiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Maine:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Minnesota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Mississippi:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Montana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nebraska:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nevada:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Hampshire:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Jersey:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “alternative verifiable learning formats” credit. Attorneys are limited to 12 credits of alternative verifiable learning formats per reporting period.

New Mexico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New York

Experienced Attorneys:  All PLI products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Newly Admitted Attorneys:  PLI’s transitional live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can be used to fulfill the requirements for New York newly admitted attorneys. Ethics credit, professional practice credit, and law practice management credit may be earned via transitional live groupcasts. Skills credits may not be earned via live groupcasts.

North Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

North Dakota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Ohio:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oklahoma:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oregon:  All PLI products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Pennsylvania:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Puerto Rico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Rhode Island:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

South Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Tennessee:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Texas:  All PLI products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Utah:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Virgin Islands:  All PLI products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

West Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wisconsin:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wyoming:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.


CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of points an attorney can earn via live groupcasts.

United Kingdom (CPD-UK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Australia’s CPD requirements. Credit limits for live groupcasts vary according to jurisdiction. Please refer to your jurisdiction’s CPD information page for specifics.


Other Credit Types

CPE Credit (NASBA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “Group-Live delivery” credit.

IRS Continuing Education (IRS-CE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live groupcasts.

Certified Anti-Money Laundering Specialists (CAMS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill SW CPE credit requirements.

American Bankers Association Professional Certification (ABA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill ABA credit requirements.

 

Why You Should Attend

At this program you will hear expert panelists discuss significant business, legal, and technological developments in the investment management area over the past year and learn about important regulatory initiatives.

 

What You Will Learn

  • The SEC’s regulatory agenda under a new administration
  • The impact of technology on investment management
  • Liquidity management and derivatives regulation
  • A review of new SEC staff guidance
  • Current exchange-traded funds issues
  • Fund and advisers reporting regimes
  • Coping with the Department of Labor’s fiduciary rule and best interest contract exemption
  • The potential SEC fiduciary rule
  • The changing role of independent directors and trustees and other governance matters
  • Systemic regulation and the asset management business
  • The future of investment adviser oversight
  • Mutual fund distribution related issues
  • Investment management compliance hot buttons
  • Current issues of the day for alternative asset managers
  • Section 36(b) cases and other recent investment management litigation
  • Enforcement trends in the asset management area
  • Ethics for the investment management practitioner

 

Special Feature

  • Earn one hour of Ethics credit

 

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, the Commodity Exchange Act of 1974, ERISA and other relevant laws.


PLI Group Discounts

Groups of 4-14 from the same organization, all registering at the same time, for a PLI program scheduled for presentation at the same site, are entitled to receive a group discount. For further discount information, please contact membership@pli.edu or call (800) 260-4PLI.

PLI Can Arrange Group Viewing to Your Firm

Contact the Groupcasts Department via email at groupcasts@pli.edu for more details.

Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

Day One: 9:00 a.m. - 4:30 p.m.

9:00 Opening Remarks

Barry P. Barbash, Paul F. Roye



9:15 Featured Speaker
  • Recent regulatory initiatives
  • Regulatory priorities
  • Priorities of the new SEC Chairman

Dalia Osman Blass



9:45 SEC Strategic Agenda
  • Liquidity management
  • Exchange-traded fund rule
  • Business continuity and transition planning
  • Investment Company reporting modernization
  • Amendments to Form ADV and Advisers Act rules
  • Stress-testing initiative
  • Exam priorities
  • MiFID II
  • Disclosure reassessment
  • Money-market fund regulation
  • Target date fund rules
  • Funds’ use of derivatives
  • Rethinking the role of fund directors
  • Effect of Treasury Department Report on the asset management industry

Barry P. Barbash, David W. Grim, Paul F. Roye



10:45 Networking Break

11:00 Investment Management: New Fiduciary World
  • The parameters of the DOL’s Fiduciary Rule and prospects for modification
  • Effects of the rule on investment advisers and other intermediaries
  • The specter of SEC initiatives
  • Litigation challenging the DOL Fiduciary Rule

Peter E. Haller (Panel Leader); Jason Bortz, Michael P. Kreps, Sarah ten Siethoff



12:00 Lunch

1:15 Technology in the Asset Management Industry
  • Cybersecurity as a continuing concern
  • The increased presence of robo advisors
  • Brave new world: the use of artificial intelligence

Barry P. Barbash (Panel Leader); Jennifer L. Klass, Lisa J. Sotto



2:15 Investment Management: Compliance and Inspections
  • Addressing key adviser and fund compliance issues
  • OC Exam priorities
  • Interacting with SEC staff
  • Increasing responsibilities of Compliance Officers

Paul F. Roye (Panel Leader); Philip L. Kirstein, Maria Gattuso, Daniel S. Kahl



3:15 Networking Break

3:30 Issues of the Day for Alternative Asset Managers
  • Allocation of expenses
  • Valuation of complex instruments
  • Dealing with co-investors

Barry P. Barbash (Panel Leader); Stephanie R. Breslow



4:30 Adjourn

Day Two: 9:00 a.m. - 12:45 p.m.

9:00 Investment Management: Enforcement and Litigation Trends
  • SEC Investment Management enforcement themes
  • Section 36(b) litigation
  • Litigation under the Securities Act of 1933 and the Securities Exchange Act of 1934
  • 401(k) plan litigation

Barry P. Barbash (Panel Leader); Anthony S. Kelly, Lori A. Martin, Sean M. Murphy



10:30 Exchange-Traded Funds
  • Managed ETFs
  • ETF trading matters
  • Regulatory initiatives

Barry P. Barbash (Panel Leader); Allison Fumai, Brian P. Murphy, Barry Pershkow



11:30 Networking Break

11:45 Investment Management: Ethics
  • SEC Rule of Professional Responsibility for issuer’s counsel
  • Dodd-Frank Act implications
  • Whistleblower anti-retaliation rules
  • The role of the investment adviser’s counsel in reporting material violations to fund counsel
  • Law firm advance conflicts waivers
  • The role of the lawyer as a gatekeeper to protect the public
  • Email and metadata issues

Michael S. Sackheim



12:45 Adjourn

Co-Chair(s)
Barry P. Barbash ~ Willkie Farr & Gallagher LLP
Paul F. Roye ~ Director, Capital Research and Management Company
Speaker(s)
Dalia Osman Blass ~ Director, Division of Investment Management, U.S. Securities and Exchange Commission
Jason Bortz ~ Senior Counsel, Senior Vice President, Capital Research and Management Company
Stephanie R. Breslow ~ Schulte Roth & Zabel LLP
Allison Fumai ~ Dechert LLP
Maria Gattuso ~ Deloitte & Touche LLP
David W. Grim ~ Former Director, Division of Investment Management, U.S. Securities and Exchange Commission
Peter E. Haller ~ Willkie Farr & Gallagher LLP
Daniel S. Kahl ~ Chief Counsel and Associate Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Anthony S. Kelly ~ Co-Chief, Asset Management Unit, Division of Enforcement , U.S. Securities and Exchange Commission
Philip L. Kirstein ~ Former Senior Officer & Independent Compliance Officer, AllianceBernstein Mutual Funds
Jennifer L. Klass ~ Morgan,Lewis & Bockius LLP
Michael P. Kreps ~ Groom Law Group
Lori A. Martin ~ WilmerHale LLP
Brian P. Murphy ~ Senior Counsel/Manager, Vanguard Group, Inc.
Sean M. Murphy ~ Milbank, Tweed, Hadley & McCloy LLP
Barry Pershkow ~ Chapman and Cutler LLP
Michael S. Sackheim ~ Sidley Austin LLP
Lisa J. Sotto ~ Hunton & Williams LLP
Sarah ten Siethoff ~ Deputy Associate Director, Rulemaking Office, Division of Investment Management, U.S. Securities and Exchange Commission
Program Attorney(s)
Justin Capuano ~ Program Attorney, Practising Law Institute

Pittsburgh Groupcast Location

Pennsylvania Bar Institute, Professional Development Conference Center, 339 Sixth Avenue, Suite 760, Pittsburgh, Pennsylvania 15222-2517. (412) 802-2300. Click Here for Directions

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Alaska:  All PLI products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Arizona:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

California:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All PLI products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Connecticut: Effective January 1, 2017, all PLI products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Delaware:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Florida:  All PLI products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Georgia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Hawaii:  All PLI products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Idaho:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Illinois:  All PLI products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Indiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Iowa:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Kansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Louisiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Maine:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Minnesota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Mississippi:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Montana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nebraska:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nevada:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Hampshire:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Jersey:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “alternative verifiable learning formats” credit. Attorneys are limited to 12 credits of alternative verifiable learning formats per reporting period.

New Mexico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New York

Experienced Attorneys:  All PLI products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Newly Admitted Attorneys:  PLI’s transitional live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can be used to fulfill the requirements for New York newly admitted attorneys. Ethics credit, professional practice credit, and law practice management credit may be earned via transitional live groupcasts. Skills credits may not be earned via live groupcasts.

North Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

North Dakota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Ohio:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oklahoma:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oregon:  All PLI products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Pennsylvania:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Puerto Rico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Rhode Island:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

South Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Tennessee:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Texas:  All PLI products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Utah:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Virgin Islands:  All PLI products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

West Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wisconsin:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wyoming:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.


CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of points an attorney can earn via live groupcasts.

United Kingdom (CPD-UK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Australia’s CPD requirements. Credit limits for live groupcasts vary according to jurisdiction. Please refer to your jurisdiction’s CPD information page for specifics.


Other Credit Types

CPE Credit (NASBA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “Group-Live delivery” credit.

IRS Continuing Education (IRS-CE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live groupcasts.

Certified Anti-Money Laundering Specialists (CAMS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill SW CPE credit requirements.

American Bankers Association Professional Certification (ABA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill ABA credit requirements.

 

Why You Should Attend

At this program you will hear expert panelists discuss significant business, legal, and technological developments in the investment management area over the past year and learn about important regulatory initiatives.

 

What You Will Learn

  • The SEC’s regulatory agenda under a new administration
  • The impact of technology on investment management
  • Liquidity management and derivatives regulation
  • A review of new SEC staff guidance
  • Current exchange-traded funds issues
  • Fund and advisers reporting regimes
  • Coping with the Department of Labor’s fiduciary rule and best interest contract exemption
  • The potential SEC fiduciary rule
  • The changing role of independent directors and trustees and other governance matters
  • Systemic regulation and the asset management business
  • The future of investment adviser oversight
  • Mutual fund distribution related issues
  • Investment management compliance hot buttons
  • Current issues of the day for alternative asset managers
  • Section 36(b) cases and other recent investment management litigation
  • Enforcement trends in the asset management area
  • Ethics for the investment management practitioner

 

Special Feature

  • Earn one hour of Ethics credit

 

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, the Commodity Exchange Act of 1974, ERISA and other relevant laws.


PLI Group Discounts

Groups of 4-14 from the same organization, all registering at the same time, for a PLI program scheduled for presentation at the same site, are entitled to receive a group discount. For further discount information, please contact membership@pli.edu or call (800) 260-4PLI.

PLI Can Arrange Group Viewing to Your Firm

Contact the Groupcasts Department via email at groupcasts@pli.edu for more details.

Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

Day One: 9:00 a.m. - 4:30 p.m.

9:00 Opening Remarks

Barry P. Barbash, Paul F. Roye



9:15 Featured Speaker
  • Recent regulatory initiatives
  • Regulatory priorities
  • Priorities of the new SEC Chairman

Dalia Osman Blass



9:45 SEC Strategic Agenda
  • Liquidity management
  • Exchange-traded fund rule
  • Business continuity and transition planning
  • Investment Company reporting modernization
  • Amendments to Form ADV and Advisers Act rules
  • Stress-testing initiative
  • Exam priorities
  • MiFID II
  • Disclosure reassessment
  • Money-market fund regulation
  • Target date fund rules
  • Funds’ use of derivatives
  • Rethinking the role of fund directors
  • Effect of Treasury Department Report on the asset management industry

Barry P. Barbash, David W. Grim, Paul F. Roye



10:45 Networking Break

11:00 Investment Management: New Fiduciary World
  • The parameters of the DOL’s Fiduciary Rule and prospects for modification
  • Effects of the rule on investment advisers and other intermediaries
  • The specter of SEC initiatives
  • Litigation challenging the DOL Fiduciary Rule

Peter E. Haller (Panel Leader); Jason Bortz, Michael P. Kreps, Sarah ten Siethoff



12:00 Lunch

1:15 Technology in the Asset Management Industry
  • Cybersecurity as a continuing concern
  • The increased presence of robo advisors
  • Brave new world: the use of artificial intelligence

Barry P. Barbash (Panel Leader); Jennifer L. Klass, Lisa J. Sotto



2:15 Investment Management: Compliance and Inspections
  • Addressing key adviser and fund compliance issues
  • OC Exam priorities
  • Interacting with SEC staff
  • Increasing responsibilities of Compliance Officers

Paul F. Roye (Panel Leader); Philip L. Kirstein, Maria Gattuso, Daniel S. Kahl



3:15 Networking Break

3:30 Issues of the Day for Alternative Asset Managers
  • Allocation of expenses
  • Valuation of complex instruments
  • Dealing with co-investors

Barry P. Barbash (Panel Leader); Stephanie R. Breslow



4:30 Adjourn

Day Two: 9:00 a.m. - 12:45 p.m.

9:00 Investment Management: Enforcement and Litigation Trends
  • SEC Investment Management enforcement themes
  • Section 36(b) litigation
  • Litigation under the Securities Act of 1933 and the Securities Exchange Act of 1934
  • 401(k) plan litigation

Barry P. Barbash (Panel Leader); Anthony S. Kelly, Lori A. Martin, Sean M. Murphy



10:30 Exchange-Traded Funds
  • Managed ETFs
  • ETF trading matters
  • Regulatory initiatives

Barry P. Barbash (Panel Leader); Allison Fumai, Brian P. Murphy, Barry Pershkow



11:30 Networking Break

11:45 Investment Management: Ethics
  • SEC Rule of Professional Responsibility for issuer’s counsel
  • Dodd-Frank Act implications
  • Whistleblower anti-retaliation rules
  • The role of the investment adviser’s counsel in reporting material violations to fund counsel
  • Law firm advance conflicts waivers
  • The role of the lawyer as a gatekeeper to protect the public
  • Email and metadata issues

Michael S. Sackheim



12:45 Adjourn

Co-Chair(s)
Barry P. Barbash ~ Willkie Farr & Gallagher LLP
Paul F. Roye ~ Director, Capital Research and Management Company
Speaker(s)
Dalia Osman Blass ~ Director, Division of Investment Management, U.S. Securities and Exchange Commission
Jason Bortz ~ Senior Counsel, Senior Vice President, Capital Research and Management Company
Stephanie R. Breslow ~ Schulte Roth & Zabel LLP
Allison Fumai ~ Dechert LLP
Maria Gattuso ~ Deloitte & Touche LLP
David W. Grim ~ Former Director, Division of Investment Management, U.S. Securities and Exchange Commission
Peter E. Haller ~ Willkie Farr & Gallagher LLP
Daniel S. Kahl ~ Chief Counsel and Associate Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Anthony S. Kelly ~ Co-Chief, Asset Management Unit, Division of Enforcement , U.S. Securities and Exchange Commission
Philip L. Kirstein ~ Former Senior Officer & Independent Compliance Officer, AllianceBernstein Mutual Funds
Jennifer L. Klass ~ Morgan,Lewis & Bockius LLP
Michael P. Kreps ~ Groom Law Group
Lori A. Martin ~ WilmerHale LLP
Brian P. Murphy ~ Senior Counsel/Manager, Vanguard Group, Inc.
Sean M. Murphy ~ Milbank, Tweed, Hadley & McCloy LLP
Barry Pershkow ~ Chapman and Cutler LLP
Michael S. Sackheim ~ Sidley Austin LLP
Lisa J. Sotto ~ Hunton & Williams LLP
Sarah ten Siethoff ~ Deputy Associate Director, Rulemaking Office, Division of Investment Management, U.S. Securities and Exchange Commission
Program Attorney(s)
Justin Capuano ~ Program Attorney, Practising Law Institute
New Jersey Groupcast Location

New Jersey Institute for Continuing Legal Education, One Constitution Square, New Brunswick, NJ 08901-1520. 732-249-5100.

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Alaska:  All PLI products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Arizona:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

California:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All PLI products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Connecticut: Effective January 1, 2017, all PLI products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Delaware:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Florida:  All PLI products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Georgia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Hawaii:  All PLI products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Idaho:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Illinois:  All PLI products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Indiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Iowa:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Kansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Louisiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Maine:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Minnesota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Mississippi:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Montana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nebraska:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nevada:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Hampshire:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Jersey:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “alternative verifiable learning formats” credit. Attorneys are limited to 12 credits of alternative verifiable learning formats per reporting period.

New Mexico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New York

Experienced Attorneys:  All PLI products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Newly Admitted Attorneys:  PLI’s transitional live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can be used to fulfill the requirements for New York newly admitted attorneys. Ethics credit, professional practice credit, and law practice management credit may be earned via transitional live groupcasts. Skills credits may not be earned via live groupcasts.

North Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

North Dakota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Ohio:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oklahoma:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oregon:  All PLI products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Pennsylvania:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Puerto Rico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Rhode Island:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

South Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Tennessee:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Texas:  All PLI products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Utah:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Virgin Islands:  All PLI products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

West Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wisconsin:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wyoming:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.


CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of points an attorney can earn via live groupcasts.

United Kingdom (CPD-UK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Australia’s CPD requirements. Credit limits for live groupcasts vary according to jurisdiction. Please refer to your jurisdiction’s CPD information page for specifics.


Other Credit Types

CPE Credit (NASBA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “Group-Live delivery” credit.

IRS Continuing Education (IRS-CE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live groupcasts.

Certified Anti-Money Laundering Specialists (CAMS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill SW CPE credit requirements.

American Bankers Association Professional Certification (ABA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill ABA credit requirements.

 

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