See Credit Details Below
Overview
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
Lecture Topics [Total time 00:11:00]
Segments with an asterisk (*) are available only with the purchase of the entire program.
- Opening Remarks* [00:04:37]
Barry P. Barbash, Paulita A. Pike - Featured Speaker [00:36:26]
David P. Bartels - SEC Strategic Agenda [01:00:20]
Brian M. Johnson, Thoreau Bartmann - Regulating Intermediaries [00:59:59]
Sarah A. Bessin, Jennifer L. Klass, Parisa Haghshenas, Jason Bortz, Geeta Dhingra - Global Themes in Investment Management [01:00:57]
Ama A. Adams, Greg Konzal, Alexandra K. Alberstadt - Asset Management Business Trends in the U.S. [00:59:42]
Rajib Chanda, Adam Henkel, Marisa J. Beeney - Issues of the Day for Alternative Asset Managers [01:03:32]
Stephanie R. Breslow, Christopher Mulligan - Investment Management: Enforcement and Litigation Trends [01:31:22]
Anthony S. Kelly, Lori A. Martin, Sean M. Murphy - Developments in Exchange-Traded Funds [00:59:53]
Anne C. Choe, Deepa Damre Smith, Trace W. Rakestraw, Lance R. Barrett - Investment Management: Compliance and Inspections [01:02:00]
Maria Gattuso, Robert E. Plaze, Kristin A. Snyder - Investment Management: Ethics [01:00:02]
Andrew M. Lawrence
The purchase price of this Web Program includes the following articles from the Course Handbook available online:
- Complete Course Handbook
- Ropes & Gray LLP, Update, Ropes & Gray’s Investment Management Update October–November 2020 (December 11, 2020)
Paulita A. Pike - Ropes & Gray LLP, Update, Ropes & Gray’s Investment Management Update February–March 2021 (April 7, 2021)
Paulita A. Pike - Rob Pekovitch, Doug Rand and Lisa Mitrovich, Deloitte & Touche LLP, Heads Up, SEC Modernizes MD&A and Related Financial Disclosure Requirements, Vol. 27, Issue 26 (November 24, 2020)
Maria Gattuso - U.S. Securities and Exchange Commission, Press Release, SEC Adopts Modernized Marketing Rule for Investment Advisers (December 22, 2020)
Barry P. Barbash,Paulita A. Pike - James E. Anderson, et al., Willkie Farr & Gallagher LLP, Client Alert, SEC Adopts Investment Adviser Marketing Rule to Update Its Advertising and Solicitation Rules (January 27, 2021)
Barry P. Barbash - U.S. Securities and Exchange Commission, Investment Adviser Marketing, Release No. IA-5653; File No. S7-21-19, 17 CFR Parts 275 and 279 (December 22, 2020)
Barry P. Barbash,Paulita A. Pike - Margery K. Neale, et al., Willkie Farr & Gallagher LLP, Client Alert, SEC Adopts New Rule for Fund of Funds Arrangements (November 11, 2020)
Barry P. Barbash - Barry P. Barbash, et al., Willkie Farr & Gallagher LLP, Client Alert, The SEC Adopts Derivatives Rule for Registered Investment Companies and BDCs (January 5, 2021)
Barry P. Barbash - Barry P. Barbash, Benjamin J. Haskin and Margery K. Neale, Willkie Farr & Gallagher LLP, Client Alert, SEC Adopts Fair Valuation Rule for Registered Funds and BDCs (February 4, 2021)
Barry P. Barbash - U.S. Securities and Exchange Commission, Press Release, SEC Division of Examinations Announces 2021 Examination Priorities (March 3, 2021)
Barry P. Barbash,Paulita A. Pike - Justin L. Browder, et al., Willkie Farr & Gallagher LLP, Client Alert, SEC Staff Issues Risk Alert on Continued Focus on Digital Asset Securities in Examinations (March 4, 2021)
Barry P. Barbash - Ropes & Gray LLP, Alert, Corporate Transparency Act Introduces New Reporting Requirements for Investment Funds and Advisers (March 12, 2021)
Paulita A. Pike - William J. Stellmach, et al., Willkie Farr & Gallagher LLP, Client Alert, SEC Sharpens Focus on ESG (March 17, 2021)
Barry P. Barbash - Ropes & Gray LLP, Alert, SEC Staff Issues Risk Alert on ESG Investing (April 13, 2021)
Paulita A. Pike - Benjamin J. Haskin, P. Jay Spinola and Elliot J. Gluck, Willkie Farr & Gallagher LLP, COVID-19 News of Interest, Update: SEC Staff Withdraws Certain COVID-19 Related Liquidity Relief for Registered Funds (April 28, 2021)
Barry P. Barbash - Jennifer J. Klass and Jonathan Hoffman, Regulating Intermediaries
Jennifer L. Klass - Ropes & Gray LLP, Alert, Analysis and Takeaways from the DOJ’s and SEC’s Recently Released Second Edition of A Resource Guide to the U.S. Foreign Corrupt Practices Act (July 10, 2020)
Paulita A. Pike - Ropes & Gray LLP, Alert, FCPA to Remain Enforcement Priority under New Administration Against Backdrop of COVID-19 (March 18, 2021)
Paulita A. Pike - Simpson Thacher & Bartlett LLP, Comment Letter on Ways to Expand Investor Access to Private Company Investments Through Registered Funds
Rajib Chanda - Schulte Roth & Zabel LLP, Private Funds Market Trends Report (May 2021)
Stephanie R. Breslow - Excessive Fee Litigation and the Investment Company Act of 1940
Lori A. Martin - Sean M. Murphy, Robert C. Hora and Benjamin J. Reed, Developments in Litigation Under Section 36(b) of the 1940 Act (May 27, 2021)
Sean M. Murphy - An Overview of ETF Developments: Transparent, Non-Transparent and Semi-Transparent Actively Managed ETFs, SEC Enforcement Action Against Index Provider, and ETF Trading Matters (May 28, 2021)
Anne C. Choe - Handling an SEC Regulatory Inquiry
Robert E. Plaze - U.S. Securities and Exchange Commission, Division of Examinations, 2021 Examination Priorities
Barry P. Barbash,Paulita A. Pike - U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, 2020 Examination Priorities
Barry P. Barbash,Paulita A. Pike - U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, 2019 Examination Priorities
Barry P. Barbash,Paulita A. Pike - U.S. Securities and Exchange Commission, Announcement, Staff Statement on Select Issues Pertaining to Special Purpose Acquisition Companies (March 31, 2021)
Barry P. Barbash,Paulita A. Pike - U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, Risk Alert, Select COVID-19 Compliance Risks and Considerations for Broker-Dealers and Investment Advisers (August 12, 2020)
Barry P. Barbash,Paulita A. Pike - U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, Risk Alert, Observations from Examinations of Investment Advisers Managing Private Funds (June 23, 2020)
Barry P. Barbash,Paulita A. Pike - U.S. Securities and Exchange Commission, Speech, Andrew J. Bowden, Director, Office of Compliance Inspections and Examinations, Spreading Sunshine in Private Equity, Remarks at the Private Equity International (PEI), Private Fund Compliance Forum 2014, New York City (May 6, 2014)
Barry P. Barbash,Paulita A. Pike - Andrew M. Lawrence, Desislava K. Kireva and Devin J. Benavidez, Appearing and Practicing Before the SEC: Ethical Considerations for Corporate Counsel
Andrew M. Lawrence
Presentation Material
- Legal Ethics: The Special Role of the Securities Lawyer
Andrew M. Lawrence
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