Conferences and Speeches

Ascendant Investment Adviser Compliance Conference—A Bold New World of Compliance: 2010

March 10, 2010 {ml-event-to} March 12, 2010
01:00 AM ET

Morgan Lewis's Steve Stone will present the following at this event:

Critical Elements of Commission Sharing Arrangements and Soft Dollars
CSAs are becoming common replacements for traditional soft dollar arrangements. This session will explore the growth of CSAs in the soft dollar space, and the issues you need to address in developing and safeguarding client assets.

  • Do CSA's improve an investment firm's ability to achieve best execution?
  • What contractual provisions should be implemented with CSA brokers?
  • Other soft dollar considerations

Insider Trading: Creating a Safe Environment (SEC Top Risk)
In the past year, numerous allegations of insider trading have highlighted a significant gap in compliance programs. The SEC has exhibited critical focus on insider trading issues across the industry, including a number of enforcement actions for predicate violations and inadequate polices. This session will explore:

  • The SEC's focus on insider trading
  • How to inventory risks
  • Required policies and Procedures
  • Recommended internal testing

When:
Wednesday, March 10, 2010
4:45 p.m.–5:45 p.m.

Where:
Loews Santa Monica Beach Hotel
Santa Monica, CA

For more information or to register, please use the above registration link.