Morgan Lewis partner Steven Stone will present in a panel entitled "Identifying and Adapting to Regulatory Change" at the ICMA 2012 Annual Conference in National Harbor, MD (outside Washington, DC).
The rapid pace of regulatory change in the investment management area will continue throughout 2012 and significantly impact the business models for those providing investment management services to retail clientele. This panel will discuss current regulatory initiatives of the SEC (and other regulators), including proposed rulemaking establishing a "fiduciary" standard of care for broker-dealers, proposals to establish a self-regulatory organization with oversight responsibilities for investment advisers, and SEC enforcement trends and current areas of focus. The session will also focus on the "top 10" areas for regulatory and business risk. The panelists will offer their views on how these regulatory forces and developments may drive the continuing evolution of the investment management businesses.
Monday, April 23, 2012
11:15 am-5:15 pm ET
Gaylord National Resort & Convention Center
201 Waterfront Street
National Harbor, MD 20745 (outside Washington, DC)
CLE credit is pending approval.