See Credit Details Below
Why You Should Attend
The Investment Management Institute 2020 is taking a fresh look at significant business, legal, and regulatory developments in the investment management area over the past year. This program will begin with a featured speaker from the Securities and Exchange Commission to address the regulatory priorities and initiatives facing the agency and will continue with an in-depth look at their strategic agenda.
New to the program this year is the discussion about global themes in investment management. Whether it is the current status of MiFid II, Brexit implications on how funds are managed, or the ever-changing world of privacy regulations, attorneys are facing a new era of global asset management. Our faculty will address these ongoing, timely issues and will provide practical guidance on the best approaches. They will also review the continuing popularity of environmental, social, and governance (ESG) criteria for global investments.
Attendees of the Investment Management Institute 2020 will have the opportunity to learn about the widening fiduciary regulations and the effects of the SEC Fiduciary Rule on broker-dealers and other intermediaries. Topics of discussion will also include compliance issues such as the increasing responsibilities of Compliance Officers and the threat of personal liability, OCIE Exam priorities, and how to work with the SEC staff. Additionally, the faculty will address SEC enforcement and litigation trends attorneys need to be aware of.
What You Will Learn
- What are the most important recent SEC regulatory initiatives?
- What is the SEC's guidance on proxy voting and regulation of proxy advisory funds?
- Analyze the implementation of the SEC Fiduciary Rule/Regulation Best Interest Rule
- How to expedite the investment company exemption process
- Discuss the changing the elements of funds governance
- Addressing key adviser and fund compliance issues
- What are the issues of the day for alternative asset managers?
- Review variable life insurance contracts and related matters
- ETF trading matters
- Are there increasing responsibilities of Compliance Officers? What is the threat of personal liability?
- What is the role of the investment adviser’s counsel in reporting material violations to fund counsel?
- Discuss recent litigation under the Securities Act of 1933 and the Securities Exchange Act of 1934
- SEC Rule of Professional Responsibility for issuer’s counsel
- Featured Speaker from the SEC to discuss current regulatory priorities
- New! Global themes in investment management
- Earn one hour of Ethics credit
Program Level: Overview
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.
Advanced Prep: None
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PLI’s blog edited by Clifford E. Kirsch on Regulatory Developments for BDs and IAs.