Morgan Lewis

Compliance and Investment Management Publications of Interest

22 Publications Found
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05/23/07 How Investment Firms Manage and Disclose Conflicts: What Do Regulators Expect?, presented at the Alliance Bernstein Subadvisory Compliance Conference, New York

Presentation | Speech
Steven Stone

05/17/07 Wrap/SMA Accounts: New Developments and Compliance Issues, presented to the Investment Adviser Association, Washington, D.C.

Presentation | Speech
Steven Stone

04/17/07 Portfolio Trading and Best Execution, presented at the NRS 22nd Annual Spring Compliance Conference, Orlando, FL

Presentation | Speech
Steven Stone

03/22/07 Wrap Fee/SMA Accounts: What You Need to Know Today, presented at the 9th Annual IA Compliance Best Practices Summit 2007, Washington, D.C.

Presentation | Speech
Monica Parry

12/05/06 Hedge Fund Side Letters: Regulatory, Business and Legal Concerns, presented at West Legalworks

Presentation | Speech
Jedd Wider, Timothy Levin

12/05/06 Emerging Issues with Model Based Programs, presented at the Legal/Regulatory Affairs Conference for General Counsels and Chief Compliance Officers, Washington, D.C.

Presentation | Speech
Steven Stone

10/19/06 Supervision of Trading Desk Activities, presented at the 2006 NSCP National Membership Meeting, Washington D.C.

Presentation | Speech
Steven Stone

10/16/06 Supervisory Control Procedures: The Compliance Deadline Was Only the Beginning, presented at the Broker Dealer Week's Annual Fall Compliance Conference, Washington, D.C.

Presentation | Speech
Steven Stone

10/04/06 Examination Crisis Management: What to Do When There Are Problems, presented at the NRS Fall 2006 Compliance Conference, Scottsdale, AZ

Presentation | Speech
Steven Stone

09/21/06 How Firms Are Adapting to the Rule and a Look Towards the Future, presented at the SIA Fee Based Accounts Forum, New York

Presentation | Speech
P. Georgia Bullitt, Steven Stone

09/19/06 Risk Management and Compliance Challenges in the Global Investment Funds Industry, presented at the International Bar Association Conference, Chicago

Presentation | Speech
W. John McGuire

09/06/06 New SEC Soft Dollar Interpretation (Schwab Institutional Webcast)

Presentation | Speech
Steven Stone

06/06/06 New Investment Adviser Rules, BISA's Legislative, presented at the Regulatory & Compliance Conference, Washington, D.C.

Presentation | Speech
Monica Parry, Steven Stone

06/06/06 Discussion of MMI Legal/Regulatory Affairs Initiatives, presented at the Legal/Regulatory Affairs Conference for General Counsels & Chief Compliance, Washington, D.C.

Presentation | Speech
Steven Stone

06/06/06 Suitability, Individualization and Rule 3a-4 Issues, presented at the Legal/Regulatory Affairs Conference for General Counsels & Chief Compliance, Washington, D.C.

Presentation | Speech
Steven Stone

08/01/05 The Role of Investment Advisers in Client Class Action Claims, Investment Adviser Association Newsletter

Outside Publication | Article
Steven Stone

06/14/05 Annual Compliance Review, presented at the National Regulatory Services Compliance Program Rule Conference '05, Arlington, VA

Presentation | Speech
Steven Stone

06/08/05 Broker-Dealers’ New Supervisory Control Rules: Bank Insurance & Securities Association, presented at the 2005 BISA Regulatory & Compliance Conference, Washington, D.C.

Presentation | Speech
Beth Kiesewetter, John Ayanian

January 2005 The Pitfalls of Performance-Based Fees: Lessons Learned from Bridgeway Capital Management, The Investment Lawyer

Outside Publication | Article
Monica Parry, Ryan Helmrich

09/08/03 Brave New World For Compliance Officers?; IA Week Fall Compliance Conference, Philadelphia

Presentation | Speech
W. John McGuire

11/08/02 Investment Adviser Act Matters; ICAA Compliance Workshop, Chicago

Presentation | Speech
W. John McGuire

02/09/01 Investment Adviser Books and Records, presented at NRS Basic Training, New York

Presentation | Speech
W. John McGuire

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