Webinar: Volcker Rule for Investment Managers
Thursday, April 10, 2014
1:30 p.m. - 3:00 p.m. (ET)
This webinar will address issues related to compliance with the December 10, 2013 final interagency regulation implementing the Volcker Rule. In particular, the webinar will focus on the covered fund provisions of the final regulation, and address the implications for existing funds, foreign funds and the creation, sponsorship of and investment in new funds going forward.
• Key regulatory restrictions
• Exclusions and exemptions to covered fund treatment
• Challenges in complying with the requirements of the final rule
• Final rule’s exemptions and exclusions
• Kevin Petrasic, Partner, Paul Hastings LLC
• Victor R. Siclari, Senior Managing Counsel & Managing Director, Investment Management, BNY Mellon
• Brian Johnson, Senior Counsel, Securities and Exchange Commission
• Paul Glenn, Special Counsel, IAA (Moderator)
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.
|Members and Associate Members
*Per computer login
For questions regarding this webinar, call (202) 293-4222 or email IAAevents@investmentadviser.org.
About the Presenters
Kevin L. Petrasic is a Partner in the Washington, D.C. office of the Global Banking and Payments Systems practice of Paul Hastings LLC. He advises national and international financial firms on matters that include Dodd-Frank compliance, data privacy/protection and data breach issues, compliance laws impacting bank payments systems, mergers and acquisitions, anti-money laundering issues and OFAC compliance, and corporate governance. Petrasic previously served in positions as Special Counsel, Managing Director of External Affairs, Director of Congressional Affairs, Legislative Counsel, and Assistant Chief Counsel at the U.S. Treasury Department’s Office of Thrift Supervision, as well as former Counsel to the House Banking Committee. He is a graduate of the Catholic University of America School of Law (J.D., 1984), and the University of Delaware (B.A., Economics/ Political Science, 1981).
Victor Siclari is a Senior Managing Counsel & Managing Director, Legal-Investment Management, BNY Mellon, and heads the legal team that supports the U.S. distribution and sales activities for BNY Mellon Investment Management’s global investment adviser boutiques and related distribution companies with over $1.6 trillion AUM. He represents investment management interests in legislative and regulatory initiatives, including the Dodd-Frank Act and the Volcker Rule. Siclari serves as Chair of SIFMA’s Asset Management Group. Siclari has also served as a partner at Reed Smith LLP (Pittsburgh); senior corporate counsel at Federated Investors (Pittsburgh); an associate in the mutual fund practice group of Morrison & Foerster (DC); and an attorney in the SEC’s Division of Investment Management (DC). Siclari has his LL.M.in Securities Regulation with distinction from Georgetown University Law Center in 1989; his J.D. from University of Buffalo Law School in 1986; and B.A. from Hofstra University in 1983. He is admitted to PA, NY, DC, and NJ Bars.
Brian McLaughlin Johnson is a Senior Counsel in the Chief Counsel’s Office in the SEC’s Division of Investment Management. At the SEC, Johnson has been involved with several rulemakings, including the Commission’s adoption of the Volcker rule, rules implementing Advisers Act exemptions added by the Dodd-Frank Act, and the Commission’s recently proposed money market fund reforms. Before joining the SEC in 2010, Johnson was an associate at the Washington, D.C. offices of K&L Gates and WilmerHale. Johnson received his B.A. from the University of Delaware and his J.D., summa cum laude, from the George Mason University School of Law.
|Paul D. Glenn is Special Counsel for the IAA. 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, respectively. He also worked at the Office of the Comptroller of the Currency (OTS), US Treasury, as Deputy Chief Counsel and Special Counsel. Glenn also served as Vice President and Director of Compliance for PNC Bank N.A. (formerly Riggs) in Washington, D.C. 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. Glenn is a member of the Bar of the Supreme Court of Ohio, the Supreme Court of the United States, and other federal courts.
Registration Cancellation or Substitution
For the live webinar, cancellations and substitutions must be received in writing no later than 5:00 p.m. (ET) Tuesday, April 8, 2014. There are no refunds for cancellations received after this date. Email your requests to firstname.lastname@example.org.