2019 Webinar - Understanding the Advertising and Solicitation Proposals

When:  Dec 2, 2019 from 2:00 PM to 3:00 PM (ET)

REGISTRATION FOR THE LIVE WEBINAR HAS REACHED CAPACITY. THE RECORDING WILL BE AVAILABLE AS A MEMBER RESOURCE.

Panel Description

The SEC has proposed amendments that would significantly overhaul the rules for investment adviser advertisements and payments to solicitors. In this webinar, our expert panel will discuss each element of the proposed changes and what it could mean for investment advisers in the future.

Speakers

Jennifer L. Klass serves as the Co-chair of Baker McKenzie's Financial Regulation and Enforcement Practice in North America. Ms. Klass is an experienced investment management lawyer with particular focus on investment adviser regulation and the convergence of investment advisory and brokerage services. She regularly represents clients before the US Securities and Exchange Commission (SEC), both in seeking interpretative guidance and in managing examination and enforcement matters. Ms. Klass is a leading practitioner in digital investment advice and the use of FinTech in the asset management industry.

Michael W. McGrath, CFA, is Partner in the Boston office of K&L Gates LLP. He is a member of the firm’s Investment Management, Hedge Funds, and Alternative Investments practice group. Mr. McGrath practices in the areas of investment management, securities, and commodities law. He focuses on counseling institutional investment firms, private fund managers, and broker-dealers in connection with regulatory aspects of their U.S. and global operations. Mr. McGrath also advises clients with respect to U.S. and global regulation of swaps and other derivatives, and assists with the development of various alternative investment strategies. Prior to joining K&L Gates, Mr. McGrath was a Vice President and Senior Counsel with Allianz Global Investors. He received a law degree from Duke University and an A.B. from Stanford University.

Sanjay Lamba is Associate General Counsel at the Investment Adviser Association. Prior to joining the IAA, Mr. Lamba worked at SEC headquarters for 10 years, beginning his service in the rulemaking office of the Division of Investment Management before transferring to the Office of Chief Counsel (Legal Branch) in the Office of Compliance Inspections and Examinations in 2010. Prior to the SEC, he was in private practice advising registered investment adviser and mutual fund clients on a wide range of matters arising under the federal securities laws. He received his B.S. degree in Finance from George Mason University in 1994 and his law degree from Boston University in 1997.

Registration

Registration for the live webinar has reached capacity.

IAA Members and IAA 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 recording will be available for purchase after December 2. Contact iaaevents@investmentadviser.org to purchase the recording ($250).

Questions?

For questions regarding this webinar, contact the IAA at (202) 293-4222 or email iaaevents@investmentadviser.org.