2-Day Program

See Credit Details Below

Overview

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. Topics of discussion will include the SEC’s regulatory agenda, fund and advisers reporting regimes, and current issues of the day for alternative asset managers. You will also examine Section 36(b) cases and other recent investment management litigation. This program will feature a panel discussion on the ethical issues faced by investment management practitioners. 

What You Will Learn

  • Investor Experience and Disclosure Initiative
  • Liquidity management and derivatives regulation
  • A review of new SEC staff guidance, including possible valuation guidance
  • The SEC’s exchange-traded funds rule proposal and other matters
  • Proposal regarding personalized investment advice standard of conduct
  • The changing role of independent directors and trustees, and other governance matters
  • Monitoring of Fund Arrangements
  • Possible amendments to marketing rules under the Advisers Act
  • Mutual fund distribution-related issues
  • Investment management compliance hot buttons
  • Insurance products issues of the day
  • Enforcement trends in the asset management area

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.

 

Program Level: Overview

Intended Audience:  In-house counsel, private fund attorneys, outside attorneys, 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.

Prerequisites: Some experience in the investment management area.

Advanced Prep: None

Credit Details

Schedule & Location