Investment Adviser Regulatory Update
June 15, 2010
1:00 PM – 3:00 PM EDT
Presented by: Robert Bagnall, Counsel, WilmerHale
Richard Cortese, VP NRS Education Services
Description: This session will feature a Beltway Briefing on the status of key regulatory reform initiatives on Capitol Hill. The panelists will also examine recent initiatives advanced by the SEC’s Division of Investment Management, current trends in the SEC’s examination program and late breaking news on SEC enforcement proceedings. Topics covered will include recent SEC guidance on the Custody Rule, pay-to-play, SEC review of derivative use by investment companies, SEC proposed rule to establish a large trader reporting system, and recently adopted rules pertaining to money market funds and short sales. State and federal developments regarding privacy and data security will also be addressed.
This session, featuring a panel of industry experts, offers you a virtual, real-time briefing on the path of regulatory reform and SEC initiatives, the possible implications for your firm, and the new challenges and best practices that should be on your radar screen.
Learning Objectives:
- Update on and analysis of Congressionally mandated and SEC regulatory reform initiatives.
- Examine the potential impact of regulatory reform on investment advisers, hedge funds and broker-dealers.
- BPractical advice on preparing for and grappling with today’s shifting regulatory environment and its uncertainties.
- Become familiar with the compliance issues currently stamped "high-priority" and determine which regulatory developments affect your firm.
- Develop risk management strategies that address SEC priorities.
For Whom: Designed to the professional competency of advisory professionals with legal, compliance and management responsibilities, this course qualifies for three (3) IACCPsm Continuing Education credit hours.
Pre-requisites for participation: The pre-requisite for participation is a basic understanding of definitions and concepts arising under the Investment Advisers Act of 1940.
