2014

 

Webinar: Custody Rule: Compliance and Confusion

Wednesday, May 14, 2014
1:00 p.m. - 2:30 p.m. (ET)

Topics Covered

The custody rule presents significant challenges for investment advisers. In particular, the definition of custody applied to a variety of scenarios continues to be a source of confusion. SEC examination officials have identified the custody rule as a top priority and have noted that they have observed “widespread non-compliance” with the rule. To address these issues, the panelists will discuss:

• How to analyze whether advisers have custody in various situations;
• Special issues for privately offered securities in both funds and separate accounts;
• How to avoid common custody deficiencies; and
• Form ADV and disclosure issues related to custody.

Presenters

• Mari-Anne Pisarri, Partner, Pickard & Djinis LLP
• David Vaughan, Partner, Dechert LLP
• Karen Barr, General Counsel, IAA (Moderator)

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
*Per computer login

Questions?

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

About the Presenters

Mari-Anne Pisarri is a partner with the Washington, D.C. firm of Pickard and Djinis LLP, specializing in regulatory issues pertaining to investment advisers, registered credit rating agencies and service providers to the securities industry. In this regard, she advises clients on federal and state securities laws, processes registrations, designs compliance programs and assists with both internal compliance reviews and SEC compliance examinations, advances clients’ interests before regulatory and policy making bodies, and represents regulated entities in disciplinary proceedings. Pisarri received her J.D., magna cum laude, from Cornell Law School. She is a member of the New York and District of Columbia Bars.
 
David A. Vaughan, is a partner at Dechert LLP. He focuses his practice on investment management, primarily private funds. Previously, he was the senior private fund policy adviser in the U.S. Securities and Exchange Commission’s Division of Investment Management in Washington, D.C. In that capacity, he advised on all aspects of legal and regulatory policy related to private funds. During that period, he played a leading role in advising on Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act and the rules implementing those provisions, the Volcker Rule, and the European Union Alternative Investment Fund Managers Directive. Vaughan received his B.A., cum laude, from Bowling Green State University, and his J.D., cum laude, from Georgetown University Law Center.
 
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, 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. 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. She is a frequent speaker on investment adviser law, regulation, and compliance.

 

Registration Cancellation or Substitution

For the live webinar, cancellations and substitutions must be received in writing no later than 5:00 p.m. (ET) Monday, May 12, 2014. There are no refunds for cancellations received after this date. Email your requests to lisa.gillette@investmentadviser.org.

 

 

Webinar: Cybersecurity for Investment Advisers:
Threats and Best Practices

Wednesday, April 30, 2014
1:00 p.m. - 2:30 p.m. (ET)

Topics Covered

A great deal of attention has been focused on cybersecurity in recent months. This webinar will address common cybersecurity threats that are affecting investment advisers, as well as best practices to detect, prevent, and respond to cyber attacks. The panelists will discuss:

• Cybersecurity threats that are trending in the investment adviser profession;
• How threats differ for an investment adviser with retail versus institutional clients;
• What all investment advisers need to know about internal threats from employee activities;
• A framework that investment advisers can use to develop an effective cybersecurity policy;
• The current legal and regulatory framework; and
• What to expect from the SEC.

Presenters

• John R. (Jack) Hewitt Partner, Gibbons P.C.
• Andrew Schofield, Managing Director-Online Security, Charles Schwab & Co., Inc.
• Laura L. Grossman, Assistant General Counsel, IAA (Moderator)

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
*Per computer login

Questions?

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

About the Presenters


John R. (Jack) Hewitt is a partner with Gibbons P.C. His practice focuses on securities litigation, along with regulatory advice and counsel to broker-dealers, investment banks, and investment advisers. Mr. Hewitt has represented these firms, their officers, and employees in SEC and FINRA enforcement investigations and enforcement actions. He has written extensively on the regulation of electronic technology in the securities markets. He is the author of the new BloombergBNA Portfolio: Cybersecurity in the Federal Securities Markets. He has a LLM in Securities Regulation from Georgetown University Law Center.

Andrew Schofield, CISSP® is Managing Director-Online Security for Charles Schwab & Co., Inc. He has worked across both technology and web product management in both the Retail and Advisor Services enterprises. For the past several years, he has been the Business Information Security Officer responsible for application security, authentication and client education across Schwab’s client-facing websites. Mr. Schofield is also a retired Lieutenant Colonel, U.S. Army Reserve, where his final assignment was as the commander of an information operations and operational security battalion. He holds a B.S. from Arizona State University and is a graduate of the U.S. Army Command and General Staff College.
 

Laura L. Grossman is Assistant General Counsel at the IAA. Prior to joining the Investment Adviser Association, Ms. Grossman 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. She earned her B.A. degree, summa cum laude, from Rutgers College, and her law degree is from the University of Pennsylvania. Ms. Grossman is a member of the New York and New Jersey Bars.

 

Registration Cancellation or Substitution

For the live webinar, cancellations and substitutions must be received in writing no later than 5:00 p.m. (ET) Monday, April 28, 2014. There are no refunds for cancellations received after this date. Email your requests to lisa.gillette@investmentadviser.org.

 

 

Webinar: SEC Examinations: Practical Tips from Your Peers

Wednesday, April 16, 2014
2:00 p.m. - 3:30 p.m. (ET)

Topics Covered

The SEC recently announced its examination priorities for 2014. In this interactive webinar, industry experts will provide you with practical tips to prepare for an SEC exam, including:

• How to prepare for SEC examinations in light of the published priorities;
• Best practices for handling SEC examinations;
• The dos and don’ts for chief compliance officers; and
• Lessons learned from SEC examinations and enforcement actions.

Presenters

• Chris Marzullo, General Counsel & Chief Compliance Officer, Brandywine Global Investment Management, LLC
• Gregory Merz, Special Regulatory Counsel, Proskauer Rose LLP
• Sanjay Lamba, Assistant General Counsel, IAA (Moderator)

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
*Per computer login

Questions?

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

About the Presenters

Chris Marzullo is General Counsel & Chief Compliance Officer at Brandywine Global Investment Management, LLC. Chris is responsible for overseeing and managing all legal and compliance matters within the organization. Prior to joining Brandywine Global, he served as associate general counsel with Legg Mason, Inc., Brandywine Global's parent company. Chris received his J. D., graduating magna cum laude, from the University of Baltimore School of Law, and earned his B.S. in Industrial and Labor Relations from Cornell University.
 
Greg Merz is Special Regulatory Counsel in the corporate department of Proskauer Rose LLP, in the Washington, D.C. office. Greg focuses on regulatory and compliance issues for private investment firms, investment advisers, mutual funds, and financial services companies. He has extensive experience with the application of federal and state securities laws to all aspects of the asset management industry, including the Investment Advisers Act of 1940, the Investment Company Act of 1940, Securities Act of 1933, the Securities Exchange Act of 1934, Dodd-Frank Wall Street Reform and Consumer Protection Act, Graham-Leach-Bliley, the PATRIOT Act, the Bank Secrecy Act and state blue sky laws.
 
Sanjay Lamba is Assistant General Counsel at the Investment Adviser Association. Prior to joining the IAA, Sanjay worked at the SEC, 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. Prior to the SEC, Sanjay was an associate in the investment management practice groups at Morrison & Foerster LLP and Dechert LLP. He received his B.S. degree in Finance from George Mason University and his law degree from Boston University. He is a member of the bar in the Commonwealth of Virginia and the District of Columbia.

 

Registration Cancellation or Substitution

For the live webinar, cancellations and substitutions must be received in writing no later than 5:00 p.m. (ET) Monday, April 14, 2014. There are no refunds for cancellations received after this date. Email your requests to lisa.gillette@investmentadviser.org.

 

 

Webinar: Volcker Rule for Investment Managers

Thursday, April 10, 2014
1:30 p.m. - 3:00 p.m. (ET)

Topics Covered

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

Presenters

• 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)

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
*Per computer login

Questions?

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 lisa.gillette@investmentadviser.org.