Event

Fundamentals of Investment Adviser Regulation 2013

July 17, 2013

Investment Management partner Steve Stone will be presenting on "Regulation of Advisers (Part II): Brokerage and Trading Practices" at PLI's Fundamentals of Investment Adviser Regulation 2013.

In the aftermath of the financial crisis and the resulting regulatory reform, the SEC has advanced significant rulemaking to impose a greater degree of controls on investment advisers' operations. In fact, the SEC has put the regulation of investment advisers under the microscope, establishing new rules related to adviser custody, political contributions and adviser disclosure and has retooled its adviser exam program.

At this program, attendees will get a solid foundation in the regulatory regime applying to investment advisers. Attendees will learn how the Investment Advisers Act of 1940 and state securities laws interact in governing the advisory industry.

A distinguished faculty will offer insights into recent developments, including the SEC's adviser exam program and recent enforcement cases.

What you will learn

  • Who are the regulators and how do they interact?
  • How does an adviser register with the SEC?
  • What determines whether an adviser is SEC-registered or state-registered?
  • What does an adviser's fiduciary duty entail?
  • How are conflicts of interest resolved?
  • What rules apply to adviser advertising?
  • What is the role of the adviser's Chief Compliance Officer?
  • How do the SEC and state regulators conduct inspections?

When:
Wednesday, July 17, 2013

Where:
PLI New York Center
810 Seventh Avenue at 53rd Street
21st floor
New York, New York 10019