ABCs of Investment Adviser Regulation 2008
WHEN
- May 9, 2008 9:00 AM - 5:00 PM
WHERE
- Practising Law Institute
- 810 Seventh Avenue
- New York, NY 10019-5818
- Map
DESCRIPTION
Peter Rosenblum, partner at Foley Hoag, will present the section on Marketing at 11:30 a.m. along with Ellen Metzger, Senior Managing Director and General Counsel, MacKay Shields LLC, New York, NY.
Why You Should Attend:
Major changes are anticipated in the investment management industry as the Securities and Exchange Commission moves forward with a review of regulations governing investment management companies and investment advisers. At this day-long program, attendees will get a solid foundation in the regulatory regime applying to investment advisers. Attendees will learn how the Investment Advisers Act of 1940 and state securities laws interact in governing the advisory industry.
Further, a distinguished faculty of practitioners and regulators, including current and former officials of the Securities and Exchange Commission and state securities regulators will offer insights into recent rulemaking, including the new anti-fraud rule, new SEC compliance alert letters and SEC guidance to assist advisers.
What You Will Learn:
- Who are the regulators and how do they interact?
- What determines whether an adviser is SEC-registered or state-registered?
- What does an adviser’s fiduciary duty entail?
- How are conflicts of interest resolved?
- What rules apply to adviser advertising?
- What is the role of the adviser’s chief compliance officer?
- How do the SEC and state regulators conduct inspections?
For more information on the complete program, please click here.