2013

 

Webinar: Do You Have to Register as a Municipal Advisor?
The Impact of New Municipal Advisor Registration Rules on SEC-Registered Investment Advisers

Thursday, December 12, 12:00 p.m. - 1:00 p.m. (ET)

Presenters

Ki P. Hong, Partner, Skadden, Arps, Slate, Meagher & Flom LLP
Edmond Papantonio, Vice President and Corporate Counsel, Prudential Financial
Laura L. Grossman, Assistant General Counsel, IAA (Session Moderator)

Session Description

The SEC recently adopted rules that will have a substantial impact on investment advisers that engage in certain activities for a municipal entity. Absent an available exclusion or exemption from registration, advisers that meet the new definition of "municipal advisor" will need to register as municipal advisors with the SEC and with the MSRB and be subject to MSRB rules.

This webinar will discuss which advisers may rely on an exclusion or exemption, which firms must register with the SEC and the MSRB as municipal advisors, the treatment of security-based swaps in the determination of whether registration is required, how firms should begin preparing for registration with and regulation by the SEC and MSRB, and interpretive issues raised by the SEC’s rulemaking.

Register Today

Registration for the live event has closed, but the recording can still be purchased by selecting the "Registration" link on the left side of this page.

Live Recording Both
Members and Associate Members $125 $125 $200
Non-Members $200 $200 $375

Questions?

For questions regarding this webinar, call (202) 293-4222 or email IAAevents@investmentadviser.org.

About the Presenters

Ki P. Hong is a partner in Skadden’s New York office. He advises major corporations on the unique political law issues they face when engaging in government affairs or government procurement activity. These include federal and state campaign finance, lobbying, gift, ethics and conflict-of-interest laws. Mr. Hong also advises clients on pay-to-play laws that impose special restrictions on the political activity of companies that have or seek government contracts, as well as their covered employees. He advises clients on establishing and maintaining comprehensive systems to ensure compliance with those laws. In addition, he represents clients at the enforcement stage.
Edmond L. Papantonio is Vice President and Corporate Counsel in the U.S. Businesses Regulatory Law section at Prudential Financial, giving advice enterprise-wide on political law issues – lobbying, pay-to-play and government ethics. Prior to joining Prudential in 2010, he performed similar roles as a Director at Barclays Capital and as a Senior Vice President at Lehman Brothers. Prior to that he held other in-house positions with Swiss Bank and PaineWebber in Japan. Before working in-house, Ed was in private practice, specializing in a broad range of securities and financing transactions.
Laura L. Grossman is Assistant General Counsel at the IAA. From September 2001 until December 2012, when she joined the Investment Adviser Association, Ms. Grossman was in private practice in the New York office of Fulbright & Jaworski L.L.P. (now Norton Rose Fulbright), where she advised registered investment adviser, mutual fund and private fund clients on matters arising under the Investment Advisers Act and other federal securities laws, the Commodity Exchange Act and associated regulations, and a wide range of compliance issues.

Cancellation or Substitution

For the live webinar, cancellations and substitutions must be received in writing no later than 5:00 p.m. ET Tuesday, December 10, 2013. There are no refunds for cancellations received after this date. Email your requests to lisa.gillette@investmentadviser.org.

 

 

Webinar: Marketing Private Funds in Asia and the Middle East

Monday, October 14, 1:00 p.m. - 2:30 p.m. (ET)

Presenters

  • Choo Lye Tan, Partner, K&L Gates LLP, Hong Kong
  • Natalie R. Boyd, Partner, K&L Gates LLP, Dubai
  • Kathy D. Ireland, Associate General Counsel, IAA (Session Moderator)

Topics Covered

This webinar will address the opportunities and challenges for advisers marketing private funds in Asia (particularly China, Hong Kong and Singapore) and in the Middle East, and the regulatory implications of such marketing.

  • Market environments, including the significance of sovereign wealth funds
  • Considerations of investments in these regions
  • Practical issues in marketing private funds in these jurisdictions
  • Recent developments

Register Today

Registration for the live event is closed.  A recording of this webinar is available, simply click the "Registration" link on the left side of this page.

Live Recording
Members and Associate Members Closed FREE 
Non-Members Closed $200

Questions?

For questions regarding this webinar, call (202) 293-4222 or email IAAevents@investmentadviser.org.

About the Presenters


Choo Lye Tan is a partner in the Hong Kong office of K&L Gates LLP. She practices in the areas of securities, corporate finance, restructuring, mergers and acquisitions, funds and public and private equity issues. Prior to joining K&L Gates, Ms. Tan practiced in international la w firms based in Malaysia and Hong Kong, advising her clients on general corporate issues in relation to the laws of Malaysia, Bermuda, the British Virgin Islands, the Cayman Islands and Hong Kong. As a result of the strong investor base in Asia, she has also advised extensively on offers of securities in Asian jurisdictions on both a public and private basis and licensing and registration of securities, investment and financial entities.

Natalie R. Boyd is a finance partner in the Dubai office of K&L Gates LLP. She primarily focuses on structured products, debt capital markets, secured bank lending, derivatives and GCC wide regulation. Ms. Boyd has over 20 years’ experience of advising leading U.S., European and regional arrangers, investment managers, fund managers and trustees on conventional and Islamic secured lending arrangements and structured credit and debt capital markets products, many of which were high profile in the credit markets. Ms. Boyd’s practice provides clients with English, UAE and DIFC law advice.

Kathy D. Ireland (Session Moderator) is Associate General Counsel at the Investment Adviser Association. Prior to joining the IAA, Ms. Ireland acted as an independent consultant focusing on pension and securities issues. In addition, Ms. Ireland served as Associate Counsel and Senior Associate Counsel at the Investment Company Institute for 12 years, representing the mutual fund industry in regulatory matters before the Department of Labor, the IRS, and the SEC. She also worked as an attorney in the Division of Investment Management at the SEC, and as an Associate and Counsel at Gibson, Dunn & Crutcher. She received her B.S. degree, magna cum laude, from Lebanon Valley College, her law degree from the College of William & Mary, and an LL.M. in Labor Law from the George Washington University National Law Center. She is a member of the District of Columbia and Maryland Bars.

Cancellation or Substitution

For the live webinar, cancellations and substitutions must be received in writing no later than 5:00 p.m. ET Thursday, October 10, 2013. There are no refunds for cancellations received after this date. Email your requests to lisa.gillette@investmentadviser.org.

 

 

Webinar: SEC and CFTC Red Flags for Investment Advisers

Wednesday, June 19, 2013, 1:30 pm - 3:00 pm ET

Presenters

  • Satish Kini, Partner, Debevoise & Plimpton LLP
  • Christopher P. Hayes, Senior Legal Counsel & Vice President, T. Rowe Price Associates
  • Hunter Jones, Assistant Director, Investment Company Regulation Office, SEC Division of Investment Management
  • Thoreau Bartmann, Branch Chief, Investment Company Regulation Office, SEC Division of Investment Management
  • Melissa Roverts, Branch Chief, Investment Adviser Regulation Office, SEC Division of Investment Management
  • Paul Glenn, Special Counsel, IAA (Session Moderator)

Topics Covered

The Dodd Frank Act gave the SEC and CFTC authority to adopt Red Flags Rules for firms they regulate. Investment advisers, including newly registered advisers to private funds, need to evaluate the applicability of red flags rules for their firm based on the SEC’s statements in the adopting release, rather than relying on any prior assessments of previous FTC red flags rules. (The Red Flags Rule S-ID is effective May 20 and the enforcement date is November 20.)

This webinar will focus on key compliance issues for advisers, including:

  • Understanding the new SEC/CFTC Red Flags Rules and how they apply to advisory firms
  • Assessing if advisers have the ability to direct transfers or payments from client accounts belonging to individuals to third parties upon an individual’s instructions
  • Developing a Red Flags Identity Theft Prevention Program (ITPP) including: preparing written policies and procedures, policy approvals, risk assessment, detecting and resolving red flags, training, and updating
  • Q&A with SEC staff presenters

Register Today

Registration for the live event has closed, but the recording can still be purchased by selecting the "Registration" or "Group Registration" links on the left side of this page.

Live Recording Both
Members and Associate Members $125 $125 $200
Non-Members $200 $200 $375

About the Presenters

 

Satish Kini is Partner, Co-chair of the firm’s Banking Group and a member of the Financial Institutions Group at Debevoise & Plimpton LLP, Washington, D.C. Satish advises domestic and international financial institutions on a wide range of regulatory and transactional banking issues. Prior to joining Debevoise in 2009, Satish was a partner at Goodwin Procter, a partner at Wilmer Cutler & Pickering in Washington, D.C., and counsel in the Legal Division of the Federal Reserve Board. Kini clerked for Judge Richard J. Cardamone of the U.S. Court of Appeals for the Second Circuit and received his B.A. magna cum laude from Colgate University, and his J.D. from Columbia University School of Law.
Christopher Hayes is a Vice President of T. Rowe Price Group, Inc., T. Rowe Price Associates Inc., T. Rowe Price International Ltd, T. Rowe Price Advisory Services, and T. Rowe Price (Canada), Inc. He is a senior legal counsel in the Legal Department of T. Rowe Price Associates. Before joining T. Rowe Price in 2005, he was with The Boston Company Asset Management, LLC. Hayes earned a B.S., cum laude, in criminal justice from Salem State University, and a J.D. from the New England School of Law. His main area of practice is U.S. investment advisor regulation.
Hunter Jones is Assistant Director in the Division of Investment Management’s Investment Company Rulemaking Office at the SEC. The Investment Company Rulemaking Office is responsible for rulemaking matters under the Investment Company Act other than insurance product matters. Rulemaking matters from this office have included the Commission’s rules on identity theft red flags, distribution fees (rule 12b‑1), exchange-traded funds, target date funds, money market funds, redemption fees (rule 22c‑2), funds of funds, manager of managers funds, and various money laundering and privacy rules. Jones has been at the Commission since 1991; from 2007 to February 2009 he served as Counsel to the Chairman. He also served as Special Counsel in the SEC’s Office of General Counsel. He is a graduate of Princeton University, magna cum laude, and Columbia University Law School.
Thoreau Bartmann is a Branch Chief in the Investment Company Regulation Office of the SEC's Division of Investment Management. Thoreau joined the SEC eight years ago and has worked on all aspects of investment company regulation, with a focus on privacy regulation. He has worked on the Model Privacy notice, Regulation S-P and Regulation S-AM and a joint rulemaking with the Commodity Futures Trading Commission obligating regulated entities to develop programs designed to detect and mitigate red flags of identity theft. Before he joined the SEC, Bartmann was a Securities Enforcement Associate at the law firm Fried, Frank, Harris, Shriver and Jacobson. He earned a J.D. from the University of North Carolina, Chapel Hill, and a B.A from the University of Alabama, Birmingham.
Melissa A. Roverts is a Branch Chief in the Investment Adviser Regulation Office of the SEC’s Division of Investment Management. Her office is responsible for investment adviser oversight, including rulemaking, interpretive guidance, applications for exemptive relief, and general policy-related issues. Since joining the SEC she has been heavily involved with the adoption and implementation of: amendments to the Advisers Act custody rule; amendments to investment adviser registration and reporting rules, including Form ADV; and the Advisers Act pay to play rule. Prior to joining the SEC, Roverts was an Associate in the Investment Management Group of the Washington, D.C. office of K&L Gates. She received her undergraduate degree from Bucknell University and her law degree, with honors, from American University, where she was also a member of the Administrative Law Review.
Paul D. Glenn is Special Counsel for the Investment Adviser Association. Previously, he worked for 12 years at the U.S. Securities and Exchange Commission as a trial attorney and special counsel in the Division of Enforcement and the Office of General Counsel. Mr. Glenn also worked at the Office of the Comptroller of the Currency (OTS), U.S. Treasury, as Deputy Chief Counsel and Special Counsel. He served as Vice President and Director of Compliance for PNC Bank N.A. in Washington, D.C., (formerly Riggs) and Millennium Bank N.A. in Reston, Va. He holds an LL.M from Georgetown University Law Center and his J.D. and B.A. from Case Western Reserve University. He received an honorary doctor of laws degree from Nyack College in 2010. Mr. Glenn is a member of the Bar of the Supreme Court of Ohio, the Supreme Court of the United States and other federal courts.

 

Cancellation or Substitution

For the live webinar, cancellations and substitutions must be received in writing no later than 5:00 p.m. ET Monday, June 17, 2013. There are no refunds for cancellations received after this date. Email your requests to lisa.gillette@investmentadviser.org.

 

 

Webinar: Compliance Issues for Smaller Investment Advisers

Thursday, June 6, 2013, 1:00 pm - 2:15 pm ET

Presenters

  • Mari-Anne Pisarri, Partner, Pickard and Djinis LLP
  • Will Edick, Partner, Pickard and Djinis LLP
  • Paul Glenn, Special Counsel, IAA (Session Moderator)

Topics Covered

This webinar will address compliance issues most relevant to smaller SEC-registered investment advisers. Some of the topics to be covered include:

  • Compliance policies and procedures, chief compliance officers, annual reviews, monitoring and testing
  • Preparing for an SEC examination, oversight review, or other “visit”
  • Customer service, custody, dealing with custodians, maintaining books and records
  • Overseeing service providers, lawyers, compliance consultants, and vendors
  • Identifying and dealing with problem clients, employees, and others

Register Today

Registration for the live event has closed, but the recording can still be purchased by selecting the "Registration" or "Group Registration" links on the left side of this page.

 

Live Recording Both
Members and Associate Members $125 $125 $200
Non-Members $200 $200 $375

 

About the Presenters

 


Mari-Anne Pisarri is a partner in the Washington, D.C. law firm of Pickard and Djinis LLP, where her practice focuses on regulatory issues affecting investment advisers, credit rating agencies and companies providing electronic services to the securities industry. She has written and spoken extensively on investment adviser regulation, and she periodically publishes an Investment Adviser Compliance Guide. Ms. Pisarri received her B.A., summa cum laude, from St. Lawrence University, and her J.D., magna cum laude, from Cornell University. She is licensed to practice in New York State and the District of Columbia, and before a number of federal trial and appellate courts.

William D. Edick is a partner in Pickard and Djinis LLP, a boutique securities law firm located in Washington, D.C. Mr. Edick specializes in regulatory and enforcement matters involving broker-dealers, investment advisers, investment companies, hedge funds and issuers. Mr. Edick counsels clients on compliance and registration issues, and represents clients before the SEC, FINRA and other securities industry regulators. Prior to joining Pickard and Djinis, Mr. Edick was an analyst with the Marker Surveillance Department of the NASD, where he specialized in insider trading investigations. Mr. Edick received his B.S. and J.D., summa cum laude, from The American University, and his LL.M., with distinction, from Georgetown University. He is licensed to practice in the District of Columbia and Maryland.

Paul D. Glenn is Special Counsel for the Investment Adviser Association. Previously, he worked for 12 years at the U.S. Securities and Exchange Commission as a trial attorney and special counsel in the Division of Enforcement and the Office of General Counsel. Mr. Glenn also worked at the Office of the Comptroller of the Currency (OTS), U.S. Treasury, as Deputy Chief Counsel and Special Counsel. He served as Vice President and Director of Compliance for PNC Bank N.A. in Washington, D.C., (formerly Riggs) and Millennium Bank N.A. in Reston, Va. He holds an LL.M from Georgetown University Law Center and his J.D. and B.A. from Case Western Reserve University. He received an honorary doctor of laws degree from Nyack College in 2010. Mr. Glenn is a member of the Bar of the Supreme Court of Ohio, the Supreme Court of the United States and other federal courts.

 

Cancellation or Substitution

For the live webinar, cancellations and substitutions must be received in writing no later than 5:00pm ET Tuesday, June 4, 2013. There are no refunds for cancellations received after this date. Email your requests to lisa.gillette@investmentadviser.org.

 

 

Webinar: Key Compliance Issues for Private Fund Advisers

Wednesday, May 22, 2013, 1:00 pm - 2:15 pm ET

Presenters

  • Mark Perlow, Partner, K&L Gates LLP
  • Maryellen Maurer, Deputy CCO, TPG Global LLC
  • Alpa Patel, Senior Counsel, Private Funds Branch, Office of Investment Adviser Regulation, Division of Investment Management, U.S. Securities and Exchange Commission
  • Monique S. Botkin, Assistant General Counsel, IAA (Session Moderator)

Topics Covered

Advisers to private funds, including hedge funds and private equity funds, face complex compliance challenges in complying with the Investment Advisers Act and other federal securities laws. This webinar will focus on key compliance issues for private fund advisers, including:

  • How to implement the new Form PF filing requirement
  • How to prepare for a SEC “presence exam” focused on private fund advisers
  • Ways to address unique private fund issues, including portfolio management and side-by-side management, valuation, performance advertising, custody, conflicts of interest and disclosure, fees and expenses, investment and trade allocation, side letters, side pockets, recordkeeping requirements, and monitoring and testing the compliance program
  • The SEC's potential new JOBS Act rule that would eliminate the general solicitation and advertising ban for private placements under Rule 506

Registration

Registration for the live webinar has closed. To purchase a recording of this webinar, please select the registration link on the left side of this page. The recording costs $125 for an IAA member or an associate member and $200 for a non-member.  If you have any questions, please contact the IAA events team at IAAEvents@investmentadviser.org or (202) 293-4222.

About the Presenters

Mark Perlow is a partner in the San Francisco office of K&L Gates LLP and one of five global practice group coordinators for the K&L Gates investment management practice. His practice focuses on investment management, financial regulation, and securities law, and he regularly represents investment advisers, mutual funds, hedge fund managers, fund boards of directors and broker-dealers on a broad range of regulatory and transactional matters. He is a member of the adjunct faculty of the School of Law at the University of California at Berkeley, where he teaches a course on capital markets and financial regulation. Before joining K&L Gates, Mr. Perlow served as senior counsel in the Office of the General Counsel of the Securities and Exchange Commission, and also served in the SEC’s Division of Enforcement. Mr. Perlow received a J.D. from Yale Law School, an M.A. from Oxford University, and an A.B. from the University of California, Berkeley.

Maryellen Maurer is the Deputy Chief Compliance Officer for TPG Global, a private equity firm with over $54B in capital under management. Prior to joining TPG in July of 2009, Ms. Maurer was the Senior Compliance Manager-Americas at Fortis Investments and Director of Affiliate Compliance at Affiliated Managers Group (AMG). Ms. Maurer has served as an investment adviser and investment company examiner for the SEC in the Fort Worth and Boston offices. She received her M.P.A. from the University of Texas at Austin McCombs School of Business and B.S. from Fairfield University.

Alpa Patel is a Senior Counsel in the Private Funds Branch of the Office of Investment Adviser Regulation, a unit of the SEC’s Division of Investment Management in Washington, DC. The Private Funds Branch focuses on regulations affecting private fund advisers. Prior to joining the SEC, Ms. Patel was an associate at Dechert LLP, where she advised clients on the structuring, formation, and private offering requirements of private funds and provided counsel to investment advisers and boards of directors in regulatory, compliance, and corporate matters.

Monique S. Botkin is Assistant General Counsel at the IAA. Prior to joining the IAA in February 2004, Monique was an associate attorney in the financial services groups of Dechert LLP in Newport Beach, California and Alston & Bird LLP in Washington, DC. While in private practice, she represented investment advisers, registered investment companies, private funds, and broker-dealers in corporate, securities, and investment management matters. She received her law degree, cum laude, from Southwestern School of Law in Los Angeles, California in 1997 and her bachelor of arts degree from the University of Maryland at College Park in 1992.

Cancellation or Substitution

For the live webinar, cancellations and substitutions must be received in writing no later than 5:00 pm ET Monday, May 20, 2013. There are no refunds for cancellations received after this date. Email your requests to lisa.gillette@investmentadviser.org.

 

 

Webinar: Key Regulatory Issues for Advisers Trading Derivatives

Wednesday, May 15, 2013, 1:00 pm - 2:30 pm ET

Presenters

  • Susan C. Ervin, Partner, Davis Polk & Wardwell LLP
  • Predrag Rogic, Senior Legal Counsel, T. Rowe Price Associates, Inc.
  • Karen L. Barr, General Counsel, IAA (Moderator)

Topics Covered

Many investment advisers that trade derivatives or other commodities have been focused on CPO/CTA requirements or exemptions. Beyond these requirements, however, the Dodd-Frank Act has significant implications for advisers trading derivatives. These advisers must become familiar with new reporting, clearing, trading, documentation, and margin requirements in the U.S. Advisers trading with non-U.S. counterparties must also be aware of non-U.S. regulation governing derivatives trades, including EMIR (European Markets Infrastructure Regulation). Topics include:

  • Swaps data reporting, clearing and trading
  • Margin requirements
  • Business conduct and documentation rules/ISDA protocols
  • Recordkeeping
  • Position limits
  • Large trader requirements
  • EMIR
  • Risk assessment and practical challenges for advisers

Registration

Registration for the live webinar has closed. To purchase a recording of this webinar, please select the "Registration" link on the left side of this page. The recording costs $125 for an IAA member or associate member and $200 for a non-member. If you have any questions, please contact the IAA events team at IAAEvents@investmentadviser.org or (202) 293-4222.

About the Presenters

Susan C. Ervin is a partner in Davis Polk’s Financial Institutions Group. She has a unique combination of direct CFTC and SEC regulatory and private practice experience in futures, commodities and derivatives, including the new swaps regulatory requirements. Ms. Ervin spent 15 years as an attorney for the Commodity Futures Trading Commission (CFTC), the last 10 of which she served in a senior capacity as Deputy Director and Chief Counsel of the CFTC’s Division of Trading and Markets. She left the CFTC at the end of 1997 to reenter private practice, where she also advised on derivatives matters and transactions, including the derivatives activities of investment companies. In 2009, she returned to the public sector as an Attorney Fellow/Senior Advisor at the U.S. Securities and Exchange Commission.

Predrag Rogic is senior legal counsel in the Legal Department of T. Rowe Price, where he heads a group responsible for various transactional matters including derivatives, trading agreements, private placements, bank debt and other matters. Before joining T. Rowe Price, he practiced in the areas of derivatives and structured finance at Sidley Austin LLP in New York City. Some of his recent publications include “Position Limits for Commodity Derivatives Under Dodd-Frank,” Thomson Reuters Accelus, June 1, 2011, and “Recent Regulatory Developments Affecting Private Fund Managers,” Futures & Derivatives Law Report, April 2011.

Karen L. Barr is General Counsel of the Investment Adviser Association, a not-for-profit association that exclusively represents the interests of investment advisers registered with the SEC. Prior to joining the IAA in 1997, Ms. Barr was in private practice at Wilmer, Cutler & Pickering (now WilmerHale), where she represented clients with respect to SEC investigations, securities class action litigation, internal corporate investigations, and regulatory matters. Ms. Barr received her B.A., magna cum laude, from the University of Pennsylvania and her law degree, cum laude, from the University of Michigan Law School.

Cancellation or Substitution

For the live webinar, cancellations and substitutions must be received in writing no later than 5:00 pm ET Monday, May 13, 2013. There are no refunds for cancellations received after this date. Email your requests to lisa.gillette@investmentadviser.org.

 

2013 Issues for NFA Members

 

Webinar: Compliance Issues for National Futures Association (NFA) Members

Wednesday, April 3, 2013, 1:30 pm - 2:45 pm ET

Presenters

  • Cary J. Meer, Partner, K&L Gates LLP
  • Lawrence B. Patent, Partner, K&L Gates LLP
  • Matt Pendell, Manager, Compliance, National Futures Association
  • Laura L. Grossman, Assistant General Counsel, IAA (Session Moderator)

Topics Covered

This webinar will address compliance issues for investment advisers relevant to members of the NFA. Some of the topics to be covered include:

  • Compliance with NFA Bylaw 1101
  • Preparing for an NFA audit
  • Self-examination checklists, annual questionnaires, registration updates and reporting
  • Ethics training and customer complaints
  • NFA developments 

Register Today

Registration for the live webinar has closed. To purchase a recording of this webinar, please select the "Registration" link on the left side of this page. The recording costs $125 for an IAA member or associate member and $200 for a non-member. If you have any questions, please contact the IAA events team at IAAEvents@investmentadviser.org or (202) 293-4222.

About the Presenters

 


Cary J. Meer is a partner in K&L Gates’ Washington, D.C. office and a member of the Investment Management practice group. She focuses her practice on private investment companies, including hedge and private equity funds, negotiated mergers and acquisitions of investment advisers and broker-dealers, derivatives and related areas. Ms. Meer structures private funds as limited liability companies, limited partnerships, offshore corporations, common trust funds and business trusts, and prepares disclosure documents and organizational documents for such entities. She also advises investment advisers, private fund managers and investment companies on compliance issues, including under the Investment Advisers Act of 1940 and whether their commodity interest-related trading or advice would require them to register as commodity pool operators or commodity trading advisors.

Lawrence B. Patent regularly counsels businesses with respect to commodity trading compliance and the legal requirements governing trading in over-the-counter derivatives and exchange-traded futures, including both international and U.S. markets. His clients include, among others, hedge funds, foreign currency dealers, commodity trading advisors and commodity pool operators. He services diverse client needs, including advice regarding the registration, disclosure, and other regulatory requirements of the Commodity Futures Trading Commission (“CFTC”) and National Futures Association (“NFA”), preparation of internal compliance procedures and policies for trading operations, time-sensitive legal advice concerning particular market positions and strategies, and compliance training. Mr. Patent joined K&L Gates in 2008 after serving more than thirty years as an attorney with the CFTC. His most recent senior position was as the Deputy Director of the Division of Clearing and Intermediary Oversight. He was the principal drafter of many CFTC regulations regarding intermediaries, including the original regulations governing introducing brokers in 1983 and the last major general reform of intermediary regulation in 2000, and he supervised the preparation of many important CFTC staff interpretive letters. He represented the CFTC in its dealing with other regulators, particularly the Securities and Exchange Commission (“SEC”), on issues relating to intermediaries, and is quite familiar with relevant regulations of the SEC and the Financial Industry Regulatory Authority. Mr. Patent was the original Chair of the Registration Working Group, which is composed of CFTC and NFA staff and meets several times a year to discuss issues relating to registration of intermediaries. Mr. Patent also worked with various foreign regulatory bodies in connection with review of their regulatory frameworks. He is a frequent panelist at futures industry conferences, particularly the opening "Soup to Nuts" panel that kicks off the Futures Industry Association Law and Compliance Division Annual Workshop. He is a member of the American Bar Association’s Derivatives and Futures Law Committee and the Futures Industry Association. He was also a contributor to the book Energy and Environmental Project Finance Law and Taxation.

Matt Pendell is a Manager of Compliance at National Futures Association where he has worked since 2001. His current responsibilities include overseeing staff who conduct financial and compliance audits, investigations and financial surveillance of brokerage firms in the commodity futures industry. Mr. Pendell is a graduate of Western Michigan University, where he majored in Finance.

Laura L. Grossman is Assistant General Counsel at the IAA. From September 2001 until December 2012, when she joined the Investment Adviser Association, Laura was in private practice in the New York office of Fulbright & Jaworski L.L.P., where she advised registered investment adviser, mutual fund and private fund clients on matters arising under the Investment Advisers Act and other federal securities laws, the Commodity Exchange Act and associated regulations, and a wide range of compliance issues.

 

Cancellation or Substitution

For the live webinar, cancellations and substitutions must be received in writing no later than 5:00pm ET Monday, April 1, 2013. There are no refunds for cancellations received after this date. Email your requests to lisa.gillette@investmentadviser.org.

 

 

Final Regulations under the Foreign Account Tax Compliance Act (FATCA): Implications for Foreign Funds
Tuesday, March 19, 2013, 1:00 pm - 2:15 pm ET

This webinar will address the implications of FATCA on foreign financial institutions (FFIs), which include certain foreign funds. Covered topics will include:

     

  • FATCA withholding on U.S. sources
  • FFI agreements
  • FFI responsibilities, including due diligence and reporting of U.S. taxpayer accounts
  • Intergovernmental agreements
  • Phase-in of FATCA requirements
Presenters:

Mary Burke Baker is Government Affairs Advisor in the Washington, DC office of K&L Gates. Mary focuses her practice on federal tax matters affecting businesses and individuals, including tax policy, tax administration, and technical tax issues.

Roger S. Wise is a partner in the Washington, DC office of K&L Gates. Roger counsels clients on the federal income tax aspects of domestic and cross-border business transactions. Mr. Wise advises clients on the tax aspects of structuring open-end and closed-end mutual funds, hedge funds and private equity funds. Recent matters include master-feeder structures, fund-of-funds strategies, tax-free reorganizations of investment companies, and complex reorganizations involving partnerships. Mr. Wise’s experience also includes structuring and negotiating corporate acquisitions and divestitures, including leveraged buyouts, internal reorganizations and inbound and outbound investments.

Kathy D. Ireland (Moderator) is Associate General Counsel at the Investment Adviser Association. Prior to joining the IAA, Ms. Ireland acted as an independent consultant focusing on pension and securities issues. In addition, Ms. Ireland served as Associate Counsel and Senior Associate Counsel at the Investment Company Institute for 12 years, representing the mutual fund industry in regulatory matters before the Department of Labor, the IRS, and the SEC. She also worked as an attorney in the Division of Investment Management at the SEC, and as an Associate and Counsel at Gibson, Dunn & Crutcher. She received her B.S. degree, magna cum laude, from Lebanon Valley College, her law degree from the College of William & Mary, and an LL.M. in Labor Law from the George Washington University National Law Center. She is a member of the District of Columbia and Maryland Bars.

Registration:

Registration for the live webinar has closed. To purchase a recording of this webinar, please select the "Registration" link on the left side of this page. The recording costs $125 for an IAA member or associate member and $200 for a non-member. If you have any questions, please contact the IAA events team at IAAEvents@investmentadviser.org or (202) 293-4222.

Cancellation Policy:

Cancellations and substitutions must be received in writing no later than 5:00pm ET Friday, March 15, 2013. There are no refunds for cancellations received after this date.