Events

Jennifer L. Klass Partner from Morgan Lewis will present “How it All Works”

On Friday October 18, 2013, Jennifer L. Klass a Partner from Morgan Lewis will be presenting “How it All Works -The Critical Roles and Responsibilities of Compliance” at the IA Compliance 101 Conference.   Some of what will be covered: What to do on an annual and daily bases What goes into developing a successful […]

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2013 – Fund Directors Conference

The Independent Directors Council will be hosting it`s annual conference at the Fairmont Chicago, Millennium Park in Chicago, IL on October 21-23, 2013. CONFERENCE HIGHLIGHTS • A special session devoted to fund directors ‘core responsibilities: for newer directors as well as those interested in a  refresher on directors’ fundamental responsibilities (scheduled for the afternoon prior […]

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Fall 2013 – Compliance Conference

Dechert LLP is sponsoring the 2013 Fall Compliance Conference presented by the ACA Compliance Group and ACA insight. The conference will span over three days in San Francisco, CA.  A few topics that will be covered during the conference: Developing and Maintaining an Effective Compliance Program, Global Derivatives Regulations, and Compliance Considerations in Managing a […]

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IA Compliance – Fall Conference 2013

IA Watch’s 13th Annual Compliance Conference will be located in Philadelphia, PA at The Westin Philadelphia. You will learn: •Exclusive insights into emerging regulatory requirements •Strategies to use OCIE’s priorities list to master your next SEC exam •Practical suggestions for how to thrive under new JOBS Act rules •Dozens of best practices to use everywhere […]

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2013 BDC Roundtable

On September 10th and 11th Sutherland will be hosting the 2013 BDC Roundtable located in Washington, D.C.   Itinerary Tuesday, September 10 Small Business Investment Companies (SBICs) 101 will be held from 3:00-5:30 p.m. at Sutherland’s new office, located at 700 Sixth Street NW in Washington, DC. The cocktail reception will be held from 6:00-8:00 […]

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Trends & Transparency in the Fair Value Process – What Fund Directors Should Know

With staff at the SEC having recently underscored “valuation guidance” as one of their top three areas of focus for 2013, the industry is seeing a renewed focus on valuation policies and procedures, particularly from fund directors with valuation oversight responsibilities. More now than ever, fund directors are challenged with determining the right balance of […]

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Brian Korn Presenting at Practising Law Institute Seminar, Understanding the Securities Laws 2013

Brian Korn, an attorney in the Corporate and Securities Practice Group of Pepper Hamilton, will present at the Practising Law Institute’s seminar, “Understanding the Securities Laws 2013” in New York on July 25-26, 2013. This program will provide an overview and discussion of the basic aspects of the U.S. federal securities laws by in-house and […]

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SEC – 2013 Mutual Funds and Investment Management Conference

The SEC will be hosting an event called “2013 Mutual Funds and Investment Management Conference” located in Palm Desert, California. It will be on Monday March 18th from 8:30 p.m. to 9:00 p.m. Norm Champ, Director, Division of Investment Management will be hosting the event.   To register or if you have any questions, please […]

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“Basics of Mutual Funds and Other Registered Investment Companies 2013.”

The Seminar will be located in New York City and also available on webcast. The seminar will be on April 24, 2013 at 9:00 a.m. This program is designed to provide attendees with a basic overview of the legal, regulatory and operational issues affecting “registered investment companies” – the universe of publicly offered pooled investment […]

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2013 – SEC to Hold National Compliance Event for Broker-Dealers

The 2013 National Compliance Outreach Program for Broker-Dealers will provide the opportunity for open discussions on effective compliance practices and timely compliance issues in ever-changing markets. The 2013 national program will focus on large firms and will feature topics of interest including enterprise risk management, net capital compliance as well as sales and trading practices. […]

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