Investment Management Institute 2021

Why You Should Attend

The Investment Management Institute 2021 is taking a fresh look at significant business, legal, and regulatory developments in the investment management area over the past year. Take an in-depth look at the priorities of the SEC and what lies ahead for the commission, as well as lessons learned from recent litigation and enforcement efforts.

Our faculty of experts will examine new areas of focus for the SEC, such as ESG and cryptocurrencies, implications of the new Division of Examinations, and the issues of the day for fund directors and trustees. Attendees of this year's program will also have the opportunity to learn about the global themes in investment management such as Brexit implications on how funds are managed, the ever-changing world of privacy regulations, and other matters attorneys are facing in a new era of global asset management.

An additional segment was added to the agenda this year to highlight asset management business trends in the U.S. of which attorneys should be aware. Last year saw SPACs raising a record-breaking amount in IPOs. Are SPACs a passing craze or a significant capital-raising tool? Review the hot market in mergers and acquisitions and gain a better understanding of new pool identities.

What You Will Learn

• Litigation under the Securities Act of 1933 and the Securities Exchange Act of 1934
• Dealing with the Adviser Act’s fiduciary interpretation
• ETF trading matters
• The continuing development of distribution platforms
• SPACs – a passing craze or significant capital-raising tool?
• Addressing key adviser and fund compliance issues
• How to have productive interactions with the SEC staff
• The role of the investment adviser’s counsel in reporting material violations to fund counsel
• SEC Rule of Professional Responsibility for issuer’s counsel

Special Feature

• Earn 1 hour of Ethics credit

Who Should Attend

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.

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.

Prerequisites: None

Advanced Prep: None