In light of the COVID-19 pandemic, advisers are considering what updates, if any, they should make to their disclosures and communications. The panel will discuss the types of issues that advisers should consider when thinking about updating Form ADV, other disclosures, marketing materials and client communications. Participants will have an opportunity to ask questions during the webinar.
Jeff Blumberg, Partner at Faegre Drinker Biddle & Reath LLP, is an experienced investment management lawyer who helps clients navigate regulatory, corporate governance, business and structural matters. Jeff advises managers of both U.S. and offshore investment funds on daily operations and planning, funding, and structuring strategies that comply with regulatory requirements. He drafts and reviews fund documentation and agreements. He also counsels investment advisers, commodity trading advisors and commodity pool operators on operations and other key business matters. In addition to advising many independent money management firms, Jeff advises investment managers that are affiliates of larger financial institutions, including banks and insurance companies.
Jim Lundy, Partner at Faegre Drinker Biddle & Reath LLP, offers clients a rare combination of senior experience both at the Securities and Exchange Commission (SEC) — in the Division of Enforcement and the Office of Compliance Inspections and Examinations (OCIE) — and in-house at a financial services firm. Jim draws from this background to empower clients to overcome enforcement investigations, examinations and litigation brought by the SEC, the Commodity Futures Trading Commission (CFTC), self-regulatory organizations and other financial regulatory agencies. Jim also leads internal investigations, serves as an independent monitor, provides counsel on governance, compliance and policy issues, defends complex financial services litigation, handles cybersecurity regulatory investigations, and defends parallel criminal investigations by the Department of Justice.
Sarah Buescher joined the Investment Adviser Association in 2017 as Associate General Counsel. She is responsible for ERISA and pension issues as well as core Investment Advisers Act issues. Before joining the IAA, Ms. Buescher served as a Branch Chief in the Investment Adviser Regulation Office in the SEC’s Division of Investment Management. She also worked in the SEC’s Office of the General Counsel and started her legal career in the SEC’s Division of Investment Management. Between 1999 and 2009, Ms. Buescher worked at Vanguard, first in the Legal Department as Associate Counsel and Senior Counsel, and later as Manager of International Compliance in Vanguard’s Compliance Department. She earned her B.S. in Communication Studies from Northwestern University and her J.D. from the University of Notre Dame Law School.
Registration for the live webinar is closed.
Members and Associate Members: The live webinar and a link to the recording are complimentary. The recording will be available within five business days after the webinar.
Non-Member Registration Fees: The live webinar is $250 (per computer logon). The recording will be available for purchase after April 9. Contact firstname.lastname@example.org to purchase the recording ($250).
For questions regarding this webinar, contact the IAA at (202) 293-4222 or email email@example.com.