Investment Management Institute 2010

This program has been approved in accordance with the requirements of the Continuing Legal Education Board. CLE Credit will be granted to attorneys.

Click here for the official expo website and registration form. (New York, NY)

Why You Should Attend

You’ll hear expert panelists discuss: Significant business developments in the investment management area over the past year and important regulatory initiatives such as:

• Pertinent legislative actions in the U.S. and other significant jurisdictions
• New regulations adopted by a panoply of regulators throughout the world governing investment companies and investment advisers
• Private fund-related legislation and rulemaking worldwide
• New regulatory treatment of investment advisers and broker-dealers
• Up-to-date SEC staff compliance guidance
• New SEC rules for money market funds
• New SEC adviser pay-to-play rules
• The Supreme Court’s consideration of Section 36(b) of the Investment Company Act
• New SEC rules on custody by investment advisers
• New FINRA guidance and other interpretations and rules affecting fund distribution
• Fund governance initiatives of importance to independent directors and trustees
• The debate over the regulation of fixed indexed annuities
• Recent litigation and enforcement activities, including actions relating to misuse of inside information and deficient disclosures

At this two-day program, you will hear from current and former regulators, industry experts and practitioners about these regulatory developments, as well as about business topics such as developments of new financial products and services.

What You Will Learn

• Current initiatives from the SEC and other regulators
• New products and services
• Developments in insurance products
• Private funds
• Developments in retirement plans
• Compliance and inspections
• Litigation and enforcement
• Ethics

Who Should Attend

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 and other relevant laws.

Joel H. Goldberg, Partner
Stroock & Stroock & Lavan LLP