9-Hour Program

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Overview

Why You Should Attend

Tailored to address regulatory developments and everyday practice issues encountered by attorneys and other professionals in the investment industry, this day and a half program will examine the SEC’s strategic agenda and the new rules requirements, along with the business trends of the day.

Attendees will also be able to implement best practices when working with particular funds and asset management, and will be able to approach client matters with a better understanding of the current developments in litigation trends, exchange-traded funds, and the growth of business development companies (BDCs) as the preferred vehicle to invest in.  

New this year is an in-depth discussion of the applicable laws and regulations in the area of cyber, data privacy, and artificial intelligence affecting asset managers. 


What You Will Learn

After completing this program, participants will be able to:

• Better understand the SEC’s new finalized rules as well as proposed rules affecting investment managers and regulated funds

• Implement best practices for working with SEC staff

• Have an improved understanding of alternative 1940 act products used to implement private markets strategies, such as interval funds, tender-offer funds, and business development companies

• Apply lessons learned from pertinent SEC enforcement actions and themes in recent SEC examinations 

• Gain insight into cybersecurity, data privacy, and artificial intelligence considerations in the investment management industry


Who Should Attend

Registered fund attorneys, in house counsel, compliance officers, and other professionals involved in issues affected by the Investment Company Act of 1940, the Investment Advisers Act of 1940, and other relevant laws. 


Special Feature(s): The program will host a keynote from the Division of Investment Management.


Program Level: Overview  


Prerequisites: None


Advanced Preparation: None


Industries

Credit Details

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