Requirements and Highlights of the Volcker Rule and its Regulations

The US federal institutions recently adopted comprehensive regulations implementing the Volcker Rule, which will soon go into effect. The Volcker Rule and the new regulations will have a material effect on how banks conduct, among other things, a number of asset-management activities.

Please join Morgan Lewis and the Investment Adviser Association for a one-hour webinar to discuss the requirements and highlights of the Volcker Rule regulations as they apply to investment advisory businesses and activities. This webinar is tailored for advisory firms in the bank-related space.

Topics will include:

• The Volcker Rule and its effect on investment advisers
• Key definitions
• Excluded funds (relying on exemptions other than 3(c)(1)/3(c)(7))
• Foreign fund and foreign public fund exclusions
• SOTUS exemption, including 2015 FAQ on SOTUS exemption
• Limits on financial support to covered funds ("Super 23A")
• Volcker Rule effect on separate accounts and structured separate accounts
• Family pooled vehicles and offices under the Volcker Rule
• Foreign noncovered funds

Monique Botkin, Associate General Counsel at the Investment Adviser Association, joins us as moderator.

Credit
CLE credit in CA, FL, IL, NJ, NY, PA, TX, and VA is currently pending approval.

More Information
Contact Samantha Dwyer at sdwyer@morganlewis.com.