Publications of Interest > Investment Management > Practices : Morgan, Lewis & Bockius

05/18/12 Mapping a Smart and Efficient Investment Adviser Annual Review, presented at the NRS 27th Annual Spring Compliance Conference, Colonial Williamsburg, Virginia

Presentation | Speech
Beth Kiesewetter

05/17/12 Outside Forces: Other Regulatory Agencies with which Broker-Dealers Should be Familiar, presented at the NRS 27th Annual Spring Compliance Conference, Colonial Williamsburg, Virginia

Presentation | Speech
Beth Kiesewetter

05/10/12 Department of Labor Releases Guidance on New Disclosure Rules

LawFlash/Client Alert | Employee Benefits and Investment Management LawFlash
Craig Bitman, Lindsay Jackson, Lisa Barton, Michael Richman, Julie Stapel, I. Lee Falk, Daniel Kleinman, R. Tracht, Marla Kreindler, Donald Myers

Guidance contains clarifications of participant-level disclosures and "good faith" standard for enforcement purposes.

05/07/12 How Managed Account Program Sponsors and Managers can Navigate the New ERISA Section 408(b)(2) Disclosure Requirements, presented for the Money Management Institute Webinar Series

Presentation | Webinar
Michael Richman, Daniel Kleinman, Donald Myers, Steven Stone

May 2012 What the CFTC Rule Revisions Mean for Registered Investment Companies and Their Investment Advisers, Investment Lawyer, Vol. 19, No. 5

Outside Publication | Article
John O'Brien, Sean Graber, Michael Philipp, Laura Flores

04/26/12 Compliance & Enforcement in 2012: What are the Implications for the Advisory Solutions Industry?, presented at the MMI 2012 Annual Convention

Presentation | Speech
Steven Stone

04/25/12 Fifth Annual Advanced Topics in Hedge Fund Practices Conference: Manager and Investor Perspectives

Presentation | Speech
Joanna Hendon

On April 19, 2012 Morgan Lewis parnter Joanna C. Hendon presented "When is it MNPI?": Ethical Issues for Hedge Fund Counsel and Compliance Professionals at the Fifth Annual Advanced Topics in Hedge F... more

04/23/12 Identifying and Adapting to Regulatory Change, presented at the ICMA 2012 Annual Conference

Presentation | Speech
Andrew Donohue, Steven Stone

Morgan Lewis partners Steven Stone and Andrew Donohue presented at the ICMA 2012 Annual Conference in National Harbor, MD (outside Washington, DC). The rapid pace of re... more

04/13/12 Update on Amendments to the EU Prospectus Directive

LawFlash/Client Alert | Business and Finance LawFlash
Jan Klumb, Ann Baker, Rima Maîtrehenry, Ethan Johnson, Torsten Schwarze, William Yonge, Rebecca Leon

Long-awaited amendments to the EU regime governing public offers of securities take effect on 1 July 2012.

03/29/12 Morgan Lewis ICI Conference Breakfast Briefing

Presentation | Speech
Michael Piracci, Andrew Donohue, P. Georgia Bullitt, Michael Philipp

On March 19, 2012 Morgan Lewis presented the ICI Conference Breakfast Briefing. This conference highlighted what registered investment companies need to know about the CFTC implementation of Dodd-Frank and beyond. T... more

03/19/12 Investment Advisers: The Perspective of the Adviser (MB-9), presented at the SIFMA Compliance & Legal Society Annual Seminar

Presentation | Speech
Steven Stone

03/08/12 Social Media Issues, presented at the 2012 IAA Investment Adviser Compliance Conference, Arlington, Virginia

Presentation | Speech
Beth Kiesewetter

02/29/12 Form ADV for 2012, presented for the Investment Management/Financial Services Roundtable Series

Presentation | Speech
Ethan Johnson, Rebecca Leon

02/28/12 Hedge Funds in Transition: SEC Examination Priorities and Strategies for Building an Advisers Act Compliance Program (a National Regulatory Services webinar)

Presentation | Webinar
John O'Brien

Objectives: Identifying and understanding the SEC's current examination priorities relating to hedge fund managers as well as the rationale and history behind some of those concerns; Developing comprehensive compliance... more

02/16/12 Session IX: Developments in Asset Management, presented at the International Business & Finance Summit 2012 (IBFS)

Presentation | Speech
Rebecca Leon

On February 3, 2012, Morgan Lewis of counsel Rebecca Leon presented on a panel entitled "Session IX: Developments in Asset Management" at the International Business & Finance Summit (IBFS) at the Abaco Beach Resort at Boat ... more

02/10/12 Part I: Update on CFTC Rules 4.5 and 4.13 for Registered Investment Companies and Hedge Funds

LawFlash/Client Alert | Investment Management LawFlash
Michael Piracci, F. Mindy Lo, Laura Flores

Investment advisers operating registered investment companies and private funds that conduct more than a de minimis amount of speculative trading in futures, commodity options, and other commodity interests will no longer be exempt from registering with the CFTC as CPOs.

02/10/12 Part II: Proposal to Harmonize CFTC and SEC Requirements for Registered Investment Companies as Commodity Pools

LawFlash/Client Alert | Investment Management LawFlash
Michael Piracci, F. Mindy Lo, Laura Flores

CFTC requests comments on proposed rules intended to harmonize certain CFTC and SEC disclosure, reporting, and recordkeeping requirements in an effort to mitigate the burden on registered investment companies required to comply with the two separate compliance regimes.

02/09/12 Current Division of Investment Management Agenda, presented for the PLI Investment Management Institute 2012

Presentation | Speech
Andrew Donohue

Topics discussed included: Dodd-Frank Act Rules Funds' use of derivatives Target Date Fund Rules Shareholder reports simplification more

02/08/12 Final DOL 408(b)(2) Disclosure Regulation

LawFlash/Client Alert | Employee Benefits and Investment Management LawFlash
Michael Richman, I. Lee Falk, Donald Myers, Craig Bitman, Daniel Kleinman

Final regulation provides a number of helpful clarifications and changes, but continues to impose what will be a highly burdensome disclosure framework.

02/08/12 SEC Concept Release Tackles Investment Company Use of Derivatives, The Review of Securities & Commodities Regulation

Outside Publication | Article
Andrew Donohue

02/03/12 2011 Asset Management Year in Review: Select SEC Enforcement Cases and Developments Regarding Investments Advisers and Investment Companies

Morgan Lewis Title | White Paper
Investment Management Practice

This Outline highlights key U.S. Securities and Exchange Commission (the "SEC" or the "Commission") enforcement developments and cases involving investment advisers and investment companies during 2011. Summary of Key Statist... more

02/02/12 DOL Releases Final 408(b)(2) Disclosure Regulation

LawFlash/Client Alert | Employee Benefits and Investment Management LawFlash
Michael Richman, Donald Myers, Daniel Kleinman

Final regulation on required disclosures by plan service providers extends deadline for disclosures to July 1, 2012.

01/31/12 2011 Year in Review: Asset Management Roundtable

Presentation | Speech
Anne Flannery, Andrew Donohue, Jennifer Klass, Steven Stone

January 2012 2011 Year in Review: SEC and FINRA Selected Enforcement Cases and Developments Regarding Broker-Dealers

Morgan Lewis Title | White Paper
E. Andrew Southerling, Shaina Stahl, Casey Cohen, Ben Indek, Julia Miller, Charles Manice, David Snider, Anne Flannery, Katarzyna Mularczyk, John Matthews, Kevin Rover, Julie Marcacci, Todd Smith, Ivan Harris, Kerry Land, Mary Dunbar, Nicholas Losurdo, Rahul Rao

This Outline highlights key U.S. Securities and Exchange Commission (the "SEC" or the "Commission") and Financial Industry Regulatory Authority ("FINRA") enforcement developments and cases regarding broker-dealers during 2011. ... more

January 2012 Political Contributions and State Lobbyist Registration, The US Private Equity Compliance Companion (PEI)

Outside Publication | Article
Thomas Harman, John O'Brien

This article was first published as a chapter in The US Private Equity Compliance Companion by PEI. For more information, see http://www.peimedia.com. Introduction Private equity ... more