Event

Investment Adviser Regulation: Legal and Compliance Forum on Institutional Advisory Services (ALI-CLE)

December 06, 2012

Morgan Lewis partners Steven W. Stone and Jennifer L. Klass will be presenting "SEC Regulatory and Enforcement Roundup" at the 2012 ALI-CLE's Legal and Compliance Forum.

Investment advisers continue to confront a flurry of regulatory changes and business pressures, and their lawyers and compliance professionals must stay abreast of the latest developments.

This well-received annual course provides an ideal opportunity for investment advisers and their counsel to get up-to-speed on all of the important regulatory issues that affect advisers. This accredited course from ALI CLE is the only CLE program that targets advisers providing advisory services in the institutional marketplace.

Unlike other continuing legal education programs, which examine only part of the picture, this advanced course brings together all of the regulatory areas of concern, and presents them in a comprehensive, integrated program.

A federal securities regulator joins private practitioners, an in-house financial rep, and a leading academic to examine key legal issues and trends and provide tangible, concrete advice for attorneys and other legal professionals.

Topics to be discussed include:

  • Recent SEC Regulatory Developments
  • CFTC Amendments to its Registration Requirements and How They Affect Advisers
  • The New ERISA Disclosure Framework
  • Private Funds

When:
Thursday, December 6, 2012 | 8:00 am-5:00 pm

SEC Regulatory and Enforcement Roundup
Presenters: Steven W. Stone and Jennifer L. Klass
9:15-10:15 am

Where:
Thomson Hall
195 Broadway
New York, NY

CLE Credit:
Please visit the registration link for more information regarding CLE credit.