Event

Recent Developments for Investment Advisers and Broker-Dealers/FCMs Roundtable

April 03, 2012
02:30 AM - 07:00 PM

Please join us for a multidisciplinary presentation on legislative, regulatory, enforcement, and litigation developments, and their impact on investment advisers, asset management firms, and broker-dealers/FCMs.

This program will be of value to general counsel; compliance officers; and litigation, benefits, and employment attorneys at financial services companies.

Topics of discussion will include:

  • SEC/FINRA regulatory and enforcement developments
  • CFTC and exchange regulatory and enforcement developments regarding futures and derivatives
  • Recent developments in securities litigation
  • ERISA regulatory and litigation developments

When:
Tuesday, April 3, 2012

Registration
2:30-3:00 pm

Presentation
3:00-5:30 pm

Reception
5:30-7:00 pm

Where:
Morgan Lewis
77 West Wacker Drive
Chicago, IL 60601

Speakers:
Anne Flannery
Jennifer Klass
Michael Philipp
Scott Schutte
Sari Alamuddin
Marla Kreindler
Julie Stapel

For additional information, please contact Claire Sherin at csherin@morganlewis.com.

This program has been preapproved for CLE credit in IL. CLE credit is currently pending approval in NY, MO, WI, NJ, TX, VA, and FL.