2011

2011 Webinar - Are You a Large Trader? The Answer May Surprise You. What You Should Know if You Are a Large Trader.

Are You a Large Trader? The Answer May Surprise You. What You Should Know if You Are a Large Trader
Thursday, November 10, 2011, 1:00 pm - 2:15 pm EST

Presenter: Mark D. Perlow, Partner, K&L Gates
Moderator: Jennifer S. Choi, Associate General Counsel, IAA

Late this summer, the SEC established the Large Trader Reporting system to enhance the SEC’s ability to identify large market participants, collect information on their trading, and analyze their trading activity. Under Rule 13h-1, all “large traders” are required to identify themselves to the SEC through new Form 13H. Upon receipt of an initial Form 13H, the SEC will assign a unique large trader identification number (LTID) to the large trader, and each large trader then must disclose its LTID and each account to which it applies to the registered broker-dealers effecting transactions on its behalf. Large traders must self-identify to the SEC by December 1, 2011. Through this webinar, learn whether your trading activity qualifies you as a “large trader,” how to comply with Form 13H within a corporate group, and about the specific requirements of Form 13H.

Mark D. Perlow is a partner at the law firm, K&L Gates. Mr. Perlow's practice focuses on investment management and securities law. He regularly represents mutual funds, hedge fund managers, investment advisers, fund boards of directors, and broker-dealers on a variety of regulatory and transactional matters. He has represented clients on a broad range of traditional and novel matters. Prior to joining K&L Gates, Mr. Perlow served as senior counsel in the Office of the General Counsel of the Securities and Exchange Commission from 1998 to 1999, focusing on investment management, fund and corporate governance, and enforcement. He also served in the SEC's Division of Enforcement from 1994 to 1997.

Jennifer S. Choi (moderator) is Associate General Counsel of the Investment Adviser Association. Prior to joining the IAA, Ms. Choi served as Associate Counsel at the Investment Company Institute, where she focused on international and corporate governance issues for the mutual fund industry. Previously, she was Assistant Director in the Division of Investment Management at the U.S. Securities and Exchange Commission. Ms. Choi also is an Adjunct Professor of Law at American University Washington School of Law, where she teaches a course in regulation mutual funds and investment advisers. She received her B.S. degree, cum laude, from the Wharton School, University of Pennsylvania, and her law degree from the George Washington University National Law Center with highest honors. She is a member of the California and District of Columbia Bars.

Registration:

IAA Members - $125.00 per computer log-on
IAA Associate Members - $125.00 per computer log-on
Non-Members - $200.00 per computer log-on

Registration for this event is closed. To purchase a recording of this webinar, please complete and return a 2011 webinar recording payment form. If you have any questions, please contact the IAA events team at IAAEvents@investmentadviser.org or (202) 293-4222.

Cancellations and substitutions must be received in writing no later than November 4, 2011; there are no refunds for any cancellation received on or later than November 5, 2011.



2011 Webinar - New Reporting Requirements on Cross-Border Holdings: Application of TIC SLT to Funds and Investment Advisers

2011 Webinar - New Reporting Requirements on Cross-Border Holdings: Application of TIC SLT to Funds and Investment Advisers
Thursday, August 11, 2011, 12:00 pm - 2:00 pm EDT

The Investment Adviser Association (IAA) and the Investment Company Institute (ICI) are jointly hosting a webinar on the new Treasury International Capital (TIC) Form SLT: Report of U.S. and Foreign Resident Aggregate Holdings of Long-Term Securities. The webinar, which is open to IAA and ICI members only, will focus on how the TIC SLT Form applies to funds and investment advisers.

The webinar will include:

  • An explanation of the TIC SLT Form in the context of other TIC reporting requirements and direct investment reporting to the Bureau of Economic Analysis;
  • Guidance on determining who needs to file and what needs to be reported;
  • Discussion of how reporting requirements apply to master-feeder funds, private funds, and managed accounts; and
  • Q&A with the Federal Reserve Bank of New York on questions posed by IAA and ICI about the application of the TIC SLT requirements to funds and advisers.

Speakers include:

  • Julien Bourgeois, Partner, Dechert LLP
  • Ken Lamar, Senior Vice President, Statistics Function, Federal Reserve Bank of New York
  • Anthony Cirillo, Assistant Vice President, International Reports Department, Statistics Function, Federal Reserve Bank of New York
  • Lois Burns, Reports Specialist, Securities Reports Division, Statistics Function, Federal Reserve Bank of New York
  • Gillian Stowe, Team Leader, Securities Reports Division, Statistics Function, Federal Reserve Bank of New York
  • Dawn Nannery, Senior Reports Analyst, Securities Reports Division, Statistics Function, Federal Reserve Bank of New York
  • Dwight Wolkow, Administrator, International Portfolio Investment Data Reporting Systems, Department of the Treasury
  • Patricia Abaroa, Chief, Direct Investment in the United States Branch, Bureau of Economic Analysis, Department of Commerce
  • Eva Mykolenko, Associate Counsel, Investment Company Institute
  • Jennifer Choi, Associate General Counsel, Investment Adviser Association

Registration:

IAA Member Fee: $75
ICI Member Fee: $75
You must be a member of either IAA or ICI to register. The webinar is free for independent directors/trustees of registered investment companies.

Registration for this event is closed. To purchase a recording of this webinar, please complete and return a 2011 webinar recording payment form. If you have any questions, please contact the IAA events team at IAAEvents@investmentadviser.org or (202) 293-4222.

If you have any other questions, please contact the IAA events team at IAAEvents@investmentadviser.org or (202) 293-4222.



2011 Webinar - ERISA Hot Topics: Disclosure and Fiduciary Issues for Advisers

2011 Webinar - ERISA Hot Topics: Disclosure and Fiduciary Issues for Advisers
Tuesday, June 28, 2011, 1:00 pm - 2:15 pm EDT
Presenter: Jennifer E. Eller, Principal, Groom Law Group
Moderator: Kathy D. Ireland, Associate General Counsel, IAA (Biographies)

The Department of Labor regulations requiring advisers to provide certain disclosures to plan sponsors and participants will take effect in 2012. This webcast will address the requirements of these regulations and their compliance implications for advisers. In addition, the webinar will cover DOL’s proposed changes to the definition of fiduciary in the context of nondiscretionary investment advice, re-proposed rules implementing Pension Protection Act provisions on participant-level investment advice, and guidance concerning prohibited transactions.

Registration:

Registration for this event is closed. To purchase a recording of this webinar, please complete and return a 2011 webinar recording payment form. If you have any questions, please contact the IAA events team at IAAEvents@investmentadviser.org or (202) 293-4222.



2011 Webinar - SEC Examinations, Inspections, and Enforcement for Investment Advisers

2011 Webinar - SEC Examinations, Inspections, and Enforcement for Investment Advisers
Thursday, April 21, 2011, 1:00 pm - 2:15 pm EDT
Presenter: Richard D. Marshall, Partner, Ropes and Gray and David Bergers, Director, SEC's Boston Regional Office
Moderator: Paul D. Glenn, Special Counsel, IAA (Biographies)

Join us for an up-to-the-second discussion of the latest developments in SEC inspections and enforcement as it relates to investment advisers.

We will discuss preparations for SEC inspections, best practices in responding to SEC inquiries, and actions to consider in the event of any potential enforcement actions. Through the web cast you will be able to ask questions of industry experts.

Registration:

Registration for this event is closed. To purchase a recording of this webinar, please complete and return a 2011 webinar recording payment form. If you have any questions, please contact the IAA events team at IAAEvents@investmentadviser.org or (202) 293-4222.



2011 Webinar - Preparing Form ADV, Part 2: Practical Information and Tips

2011 Webinar - Preparing Form ADV, Part 2: Practical Information and Tips
Tuesday, March 1, 2011, 1:00 pm - 2:15 pm EST
Presenters: Alan P. Goldberg, Partner, K&L Gates LLP and Jennifer L. Klass, Partner, Morgan Lewis & Bockius, LLP
Moderator: Karen Barr, General Counsel, IAA (Biographies)

The SEC’s newly revised Form ADV, Part 2 requires advisers to provide clients and prospective clients with a brochure that contains narrative disclosure written in plain English, instead of the current “check the box” format. It also requires advisers to provide virtually all clients with a brochure supplement. Investment adviser firms with a fiscal year ending on December 31 will be required to file their new brochure with the filing of their annual update no later than March 31, 2011.

Still drafting your Form ADV, Part 2? This is your opportunity to pose your questions to the experts before you file your brochure with SEC. The panel will offer practical tips and guidance for drafting significant items required in the brochure, discuss interpretive issues relating to the brochure supplement requirements, and provide key information about filing and delivery deadlines and requirements. This webinar will be a more in-depth discussion of key issues and questions following up the IAA’s fall 2010 webinar on Form ADV, Part 2, which provided a comprehensive overview of the new requirements.

Registration:

Registration for this event is closed. To purchase a recording of this webinar, please complete and return a 2011 webinar recording payment form. If you have any questions, please contact the IAA events team at IAAEvents@investmentadviser.org or (202) 293-4222.



2011 Compliance with the SEC

2011 Webinar - Compliance with the SEC’s Pay to Play Rule: Political Contributions and Solicitations Related to Government Entities

2011 Webinar - Compliance with the SEC’s Pay to Play Rule: Political Contributions and Solicitations Related to Government Entities
Monday, February 28, 2011, 1:00 pm - 2:15 pm EST
Presenter: Robert K. Kelner, Partner, Covington & Burling LLP
Moderator: Monique Botkin, Associate General Counsel, IAA (Biographies)

Investment advisers doing business with state and local government entities (public pension funds) must comply with most provisions of the Advisers Act pay to play Rule 206(4)-5 by March 14, 2011 and other provisions by September 13, 2011. This webinar will address the rule’s three basic prohibitions: (1) the ban on an adviser receiving compensation for two years after the date of a political contribution (above a de minimis amount) to an official of a government entity by a “covered associate” of the adviser; (2) the ban on an adviser and its covered associates coordinating or soliciting any person or political action committee (PAC) to make contributions or payments to certain state or local political parties; and (3) the recently proposed amendment to ban an adviser from paying third parties to solicit government entity clients for the adviser’s advisory services unless the third party is an SEC-registered municipal advisor.

This webinar will address the rule’s basic requirements and important definitions, specific compliance policies and procedures to consider, and common pitfalls to avoid, as well as implications to advisers to covered investment pools, such as certain registered investment companies, hedge funds, private equity funds, and venture capital funds if a government entity is an investor in such funds. We will also address how certain state and local lobbying laws may affect investment advisers doing business with or marketing to state and local pension plans.

Registration:

Registration for this event is closed. To purchase a recording of this webinar, please complete and return a 2011 webinar recording payment form. If you have any questions, please contact the IAA events team at IAAEvents@investmentadviser.org or (202) 293-4222