Outside Publication

Guest Lecturer in “Regulatory Practice”, Regulatory Compliance Association’s PracticeEdge Series, Volume 2, First Edition


Morgan Lewis’s partner Brendan Kalb was a guest lecturer for “Regulatory Practice”, a course that discussed select areas of recent regulatory scrutiny by the SEC, with a focus on matters impacting investment fund managers. Topics discussed included: broker-dealer registration issues; liquid alternative products; fiduciary responsibilities and conflicts of interest; and cyber security. Session participants included former Chief Counsel of SEC’s division of Trading and Markets, as well as the general counsel and chief compliance officers of a number of blue chip investment managers and a senior partner from a prominent investment management law firm.

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