US Regulatory and Enforcement Issues for UK Financial Firms

The US legal environment is constantly evolving, and recent changes will dramatically affect how UK asset managers and financial services firms offer their products and services in the United States.

Please join us for a roundtable discussion about current priorities relevant to today’s environment.

Topics will include:

• The US Department of Labor’s “fiduciary rule”
• US Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) enforcement and exam priorities
• US retirement industry trends affecting fund managers
• SEC rule proposals affecting mandates for retail fund products
• An overview of derivatives market reforms post–Dodd Frank
• Financial sector implications of a UK “Brexit”

Agenda
8:00–8:30 am | Registration
8:30–10:00 am | Roundtable discussion

Registration/Questions
For further information, please contact Amanda Nassar at amanda.nassar@morganlewis.com.