10-Hour Program

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Why You Should Attend

Investment Management 2022: Current Issues and Trends is an all-new program tailored to address current regulatory developments and everyday practice issues faced by attorneys and other professionals in the investment management industry. Upon completing this program, attendees will be able to explain the SEC's strategic agenda and new rules requirements effectively and confidently to clients, implement pragmatic best practices into their practice with particular funds and asset management, and will be able to approach client matters with a better understanding of trends in Section 36(b) litigation.

Highlighted in this year's agenda is the implementation of new SEC rules. Our faculty of experts will evaluate the timelines created by the new SEC rules and will explain how they impact your practice. What are the key compliance dates attorneys need to know? What are the effects on funds of the new Investment Advisers Act's Marketing Rule? Learn about these pragmatic issues and become better enabled to serve your clients impacted by these developments.

Also of note is the balance between U.S.-focused asset management issues and global themes in investment management. Attendees will learn about emerging global product trends, including the "retailisation" of private markets in Europe, and will examine cross-border trends that impact their day-to-day practice. There will also be a deep dive into pool identities in the U.S., in particular digital asset pools and retail private markets.

What You Will Learn

  • What challenges do investment management attorneys face with the implementation of new SEC rules?
  • Analyze the SEC's proposed rule changes for private fund advisers. How exactly does this impact your practice?
  • What are some best practices for advising asset managers operating in a world of enforcement?
  • Stay on top of current asset management business trends in the U.S.
  • Identify the SEC's Investment Management enforcement themes. What kinds of issues tend to capture the SEC's attention most?
  • Learn how to have productive interactions with the SEC staff.
  • Examine the role of the investment adviser's counsel in reporting material violations to fund counsel. What legal ethics obligations exist when reporting violations?
  • Learn how the SEC Rule of Professional Responsibility for issuer’s counsel compare and contrast to the legal ethics rules.

Special Features

  • Featured Speaker from the SEC Division of Investment Management
  • Earn up to 1 hour of Ethics credit

Who Should Attend

Private fund attorneys, in-house counsel, compliance officers, and others involved in the investment management industry.


Program Level: Intermediate

Intended Audience: Private fund attorneys, in-house counsel, compliance officers, and others involved in 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.

Prerequisites: None

Advanced Prep: None


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Credit Details

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