United States/Canada Securities Regulatory Update

November 29, 2012
02:00 PM - 04:00 PM

Please join Morgan Lewis and McCarthy Tétrault for a seminar on U.S. and Canadian securities regulatory requirements applicable to U.S. investment advisers, broker-dealers, and investment funds.

Thursday, November 29, 2012
2:00-4:00 pm

Morgan, Lewis & Bockius LLP
101 Park Avenue, New York, NY 10178
39th Floor | Conference Room B

United States | Morgan, Lewis & Bockius LLP

  • Key issues regarding the provision of cross-border financial services into Canada - the U.S. point of view

Ethan W. Johnson, partner
Richard F. Morris, partner
Richard S. Zarin, partner
Rebecca Leon, of counsel

Canada | McCarthy Tétrault LLP

  • Offering investment advisory services to Canadians
  • Trading securities as a principal or agent with Canadians
  • Acting as the investment fund manager of an investment fund offered to Canadians

René R. Sorell, partner
Michael C. Nicholas, partner
Sean D. Sadler, partner

Register for this seminar