PLI Investment Management Institute 2018

March 22, 2018 to March 23, 2018

At this program you will hear expert panelists discuss significant business, legal, and technological developments in the investment management area over the past year and learn about important regulatory initiatives.

This program is designed for attorneys in law firms, in-house counsel, private fund lawyers, compliance officers and others involved in current issues affected by the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Commodity Exchange Act of 1974, ERISA and other relevant laws. 

Morgan Lewis Partner Jennifer L. Klass will participate as a faculty member at this event.

What You Will Learn

  • The SEC’s regulatory agenda under a new administration
  • The impact of technology on investment management
  • Liquidity management and derivatives regulation
  • A review of new SEC staff guidance
  • Current exchange-traded funds issues
  • Fund and advisers reporting regimes
  • Coping with the Department of Labor’s fiduciary rule and best interest contract exemption
  • The potential SEC fiduciary rule
  • The changing role of independent directors and trustees and other governance matters
  • Systemic regulation and the asset management business
  • The future of investment adviser oversight
  • Mutual fund distribution related issues
  • Investment management compliance hot buttons
  • Current issues of the day for alternative asset managers
  • Section 36(b) cases and other recent investment management litigation
  • Enforcement trends in the asset management area
  • Ethics for the investment management practitioner

CLE credit: New York - Total Credits: 10.50 | Ethics: 1.00 | Professional Practice: 9.50