10-Hour Program

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Tailored to address current regulatory developments and everyday practice issues encountered by attorneys and other professionals in the investment management industry, this day and a half program will examine the SEC’s strategic agenda and new rules requirements along with the business trends of the day.

Attendees will be able to implement pragmatic best practices when working with particular funds and asset management, and will be able to approach client matters with a better understanding of Section 36(b) litigation. They will also have the opportunity to gain insight into the asset management business trends in both the United State and globally.

New this year is an in-depth examination of alternative 1940 Act investment products. Panelists will highlight the key legal and compliance takeaways of products such as interval funds, tender offer funds, and business development companies.

What You Will Learn

After completing this program, participants will be able to:

  • Better understand the SEC’s new tailored shareholder report and advertising rules for investment companies
  • Implement best practices for working with the SEC staff
  • Have an improved understanding of products such as interval funds, tender-offer funds, and business development companies
  • Apply lessons learned from pertinent Section 36(b) litigation and SEC enforcement actions
  • Anticipate and identify the legal ethical considerations that arise in the investment management industry



Program Level: Overview 

Prerequisites: None

Advanced Preparation: None

Credit Details

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