February 9-10, 2012
Organizer: Practising Law Institute
Topics: You’ll hear expert panelists discuss significant business and legal developments in the investment management area over the past year and important regulatory initiatives such as:
- New rules implementing provisions of the Dodd-Frank Act
- The impending new regulatory treatment of investment advisers and broker-dealers and the standards to which those professionals will be subject
- Investment adviser regulation for private fund managers
- The future of investment adviser oversight
- Up-to-date SEC staff investment management compliance guidance
- The continuing saga of the use by funds of derivatives
- Potential new regulatory initiatives relating to securities lending, target-date funds and exchange-traded funds
- Working with the SEC adviser pay-to-play rule
- The aftermath of Janus Capital Group
- The changing world of mutual fund distribution
- Governance initiatives of importance to fund independent directors and trustees
- Possible new regulations affecting money-market funds
- Recent investment management litigation and enforcement activities
- Effect of FINRA rules on the investment management business
- Effect of CFTC regulations on the fund industry
- The widening web of enforcement
- Ethics for the investment management practitioner
At this two-day program, you will hear from current and former regulators, industry experts and practitioners about these regulatory matters, as well as about business topics such as developments of new financial products and services.