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

Tuesday, April 3, 2012

2:30-3:00 pm

3:00-5:30 pm

5:30-7:00 pm

Morgan Lewis
77 West Wacker Drive
Chicago, IL 60601

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.