2015

2015 Webinar - IAA Briefing: The Latest Regulatory Developments Affecting Advisers

 

Webinar – IAA Briefing: The Latest Regulatory Developments Affecting Advisers

Wednesday, September 9, 2015
2:00 - 3:00 p.m. ET

Topics Covered

The IAA Legal Team will update IAA members on recent legislative, legal, regulatory, and compliance developments. Learn what to expect from Capitol Hill, the SEC, the CFTC, Department of Labor, Treasury Department, and international regulators.

The Briefing Webinar will be conducted on a listen-only basis. Questions may be submitted ahead of time to IAAEvents@investmentadviser.org.

Registration

Registration for the webinar is now closed. A recording of this webinar is available as a member resource.

Questions?

If you have any registration difficulties, please visit the Registration FAQs page or contact the IAA events team at IAAEvents@investmentadviser.org or (202) 293-4222.



 

Webinar – Advising Retirement Plan Clients

Wednesday, July 22, 2015
2:00 - 3:15 p.m. ET

Topics Covered

This webinar will assist investment advisers in determining whether an account is subject to the Employee Retirement Income Security Act (ERISA) and the adviser’s responsibilities to ERISA clients. The discussion will cover advising employers sponsoring ERISA plans, and advising employees and retirees with retirement accounts, including individual retirement accounts (IRAs).

Advising Employers:

  • Plan Assets, Fiduciary Status and Investment Manager Status
  • QPAM Status
  • 408(b)(2) Disclosures
  • Other Issues (Proxy Voting, Soft Dollars, ERISA Bonds, Performance Fees)

Advising Employees and Former Employees:

  • Education vs. Advice
  • Rollovers
  • IRAs and Prohibited Transactions

Presenters

  • Jennifer E. Eller, Principal, Groom Law Group, Chartered
  • D. Scott Schilling, CSCP, Chief Compliance Officer, Morningstar Investment Services, Inc.
  • Kathy Ireland, Associate General Counsel, IAA (Moderator)

Registration

Registration for the live event has closed, but the recording can still be purchased by clicking the "Register" button on this page.

Live Recording Both
Members and Associate Members $125* $125 $200
Non-Members $250* $250 $475

*Per computer login
Registration closes on Monday, July 20, at 5:00 p.m.

Questions?

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

About the Presenters

Download to see image

 

 

D. Scott Schilling is the Global Chief Compliance Officer for Morningstar, Inc. In this role, Mr. Schilling leads, directs, and manages all compliance and regulatory activities for Morningstar, Inc. and its subsidiaries including overseeing the implementation and maintenance of compliance programs designed to ensure compliance with applicable laws and regulations. Previously, he served as a Senior Compliance Consultant for Lincoln Investment Management. Mr. Schilling holds Series 7, 24, 28, and 63 securities licenses through FINRA. He also holds the Certified Securities Compliance Professional designation through NSCP and has been awarded the Claritas® Investment Certificate by the CFA Institute.

Download to see image

 

 

Jennifer E. Eller is Co-Head of the Groom Law Group’s Fiduciary practice group and one of four members of the firm’s Executive Committee. She advises large public plans, corporate plan sponsors, and financial institutions in connection with the investment of plan assets under U.S. law. Ms. Eller has also worked with banks, thrifts, insurance companies, and service providers on the creation and operation of financial products including collective investment vehicles. She received her J.D. from Georgetown University Law Center, cum laude, and her B.A. from Avila College, magna cum laude.

Download to see image

 

Kathy D. Ireland (moderator) is Associate General Counsel of the Investment Adviser Association. Prior to joining the IAA, Ms. Ireland acted as an independent consultant focusing on pension and securities issues. Previously, Ms. Ireland served as Associate Counsel and Senior Associate Counsel at the Investment Company Institute, representing the mutual fund industry in regulatory matters before the Department of Labor, the IRS, and the SEC. 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.

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, July 22. There are no refunds for cancellations received after this date. Email your requests to lisa.gillette@investmentadviser.org.

 

 

Webinar - New Reporting on Form ADV Part 1A: What You Need to Know about the SEC’s Proposed Changes

(Only Open to IAA Members and Associate Members)

Friday, July 10, 2015
1:00 - 2:00 p.m. (ET)

Topics Covered

This webinar is intended to inform members about the changes that the SEC is proposing to Part 1A of Form ADV. Advisers will be required to report detailed information about their separately managed accounts, including a breakdown of asset/investment types in each account. Advisers with over $150 million in separately managed accounts will need to calculate the net asset value of the accounts and provide gross notional exposure of all derivatives in those accounts. The webinar will go through the proposed changes Item-by-Item, including a discussion of:

  • What is included in “separately managed account” assets for which firms must report asset types, derivatives exposures and borrowings information?
  • What additional information must firms provide about custodians for the separately managed accounts?
  • How will firms report their RAUM attributable to each type of client?
  • Comments the IAA is considering making; we encourage member feedback

Presenters

  • Monique S. Botkin, Associate General Counsel, Investment Adviser Association (Moderator)
  • Jennifer L. Klass, Partner, Morgan Lewis & Bockius LLP
  • John J. “Jack” O’Brien, Associate, Morgan Lewis & Bockius LLP

Registration

Registration is complimentary and only open to IAA members and associate members. Registration for the live event has closed, but the recording can be ordered by clicking the "Register" button on this page.

Questions?

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

About the Presenters

Monique S. Botkin is Associate General Counsel of the Investment Adviser Association. Prior to joining the IAA in February 2004, Ms. Botkin was an associate in the financial services groups at Dechert LLP in Orange County, California and Alston & Bird LLP in Washington, DC. While in private practice, Ms. Botkin represented investment advisers, registered investment companies, private funds, and broker-dealers in corporate, securities and investment management matters. Monique also served as an attorney in the SEC’s Division of Investment Management disclosure review office from 2013 to 2014.

Jennifer L. Klass is a Partner with Morgan Lewis & Bockius LLP. She is regulatory counseling lawyer with a broad background in investment management regulation. Ms. Klass advises clients on a wide range of investment advisory matters, including investment adviser registration and interpretive guidance, disclosure and internal controls, regulatory examinations, and enforcement actions. Her clients include major investment banks, investment advisers, broker-dealers, and the sponsors of private investment funds and mutual funds. Previously vice president and associate general counsel at Goldman, Sachs & Co., Jen’s practice focuses on the convergence of investment advisory and brokerage services.

John J. “Jack” O’Brien is an Associate with Morgan Lewis & Bockius LLP. He counsels registered and private funds and fund managers in connection with organizational, offering, transactional, and compliance matters. Mr. O’Brien regularly works with a variety of different fund structures, including open-end and closed-end funds, exchange-traded funds, and hedge funds. Jack also counsels investment adviser and broker-dealer clients on various matters, particularly with respect to registration and disclosure, marketing regulations, pay-to-play issues, and transactions in exchange-traded funds.

Registration Cancellation or Substitution

For the live webinar, cancellations and substitutions must be received in writing no later than 5:00 p.m. (ET) Wednesday, July 8, 2015. Email your requests to lisa.gillette@investmentadviser.org.

 

2015 Webinar - Requirements and Highlights of the Volcker Rule and its Regulations

Co-hosted by:
 

Wednesday, July 1
2:00 - 3:00 p.m. ET

The US federal institutions recently adopted comprehensive regulations implementing the Volcker Rule, which will soon go into effect. The Volcker Rule and the new regulations will have a material effect on how banks conduct, among other things, a number of asset-management activities.

Please join Morgan Lewis and the Investment Adviser Association for a one-hour webinar to discuss the requirements and highlights of the Volcker Rule regulations as they apply to investment advisory businesses and activities. This webinar is tailored for advisory firms in the bank-related space.

Topics

  • The Volcker Rule and its effect on investment advisers
  • Key definitions
  • Excluded funds (relying on exemptions other than 3(c)(1)/3(c)(7))
  • Foreign fund and foreign public fund exclusions
  • SOTUS exemption, including 2015 FAQ on SOTUS exemption
  • Limits on financial support to covered funds ("Super 23A")
  • Volcker Rule effect on separate accounts and structured separate accounts
  • Family pooled vehicles and offices under the Volcker Rule
  • Foreign noncovered funds

Presenters

  • Charles Horn, Partner, Morgan Lewis
  • Steve Stone, Partner, Morgan Lewis
  • Melissa Hall, Of Counsel, Morgan Lewis
  • Monique Botkin, Associate General Counsel, Investment Adviser Association (Moderator)

Registration

Registration for this event has now closed. You may access the recording here. (You will be directed to a Morgan Lewis registration form.)

CLE Credit

CLE credit in CA, FL, IL, NJ, NY, PA, TX, and VA is currently pending approval.

Questions

For registration questions, please email Samantha Dwyer at sdwyer@morganlewis.com. For all other questions, contact the IAA at IAAEvents@investmentadviser.org or (202) 293-4222.



 

Webinar – Pay to Play and Other Political Law Issues for Investment Advisers

Thursday, June 18, 2015
2:00 - 3:15 pm ET

Topics Covered

With the 2016 election cycle heating up, this webinar provides investment advisers with an overview of pay to play regulation, with an emphasis on recent developments and compliance strategies. The webinar will also address other political law regimes that apply to interactions with public sector investors. Key topics include:

  • Pay to play Rule 206(4)-5 and the SEC’s treatment of recent exemptive relief applications under the Rule and the implications for investment adviser’s compliance programs
  • The application of the Rule to the increasingly varied set of fundraising vehicles and non-profit entities active in the current election cycle
  • Recent developments in state and local pay to play laws
  • Other political law regimes that apply when soliciting investment from government entities, including procurement lobbying laws, placement agent regulations, gift and entertainment laws

Presenters

  • Charles Borden, Partner, Head of Political Law Group, Allen & Overy LLP
  • Sam Brown, Associate, Political Law Group, Allen & Overy LLP
  • Sanjay Lamba, Assistant General Counsel, Investment Adviser Association (Moderator)

Registration

Registration for the live event has closed, but the recording can still be purchased by clicking the "Register" button on this page.

Live Recording Both
Members and Associate Members $125* $125 $200
Non-Members $250* $250 $475

*Per computer login
Registration closes on Tuesday, June 16 at 5:00 p.m.

Questions?

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

About the Presenters

Charles Bordon is a Partner and Head of the Political Law Group at Allen & Overy LLP. His practice focuses on the intersection of law and political activity, and he regularly counsels multinational corporations and financial institutions on the regulatory and compliance obligations, as well as the political and reputational consequences, of political activity relating to campaign finance law; the Lobbying Disclosure Act (LDA); the Foreign Agents Registration Act (FARA); the SEC’s regulation of municipal advisors; the federal pay-to-play rules for municipal dealers (Municipal Securities Rulemaking Board (MSRB) Rule G-37), investment advisers (SEC Rule 206(4)-5), and swap dealers (CFTC Rule 23.451); the Stop Trading on Congressional Knowledge Act (STOCK Act); and state and local pay-to-play laws.

Sam Brown is an Associate in the Political Law Group at Allen & Overy LLP. His practice focuses on political law issues, particularly as such issues relate to commercial interactions with public sector entities. Among other topics, he counsels multinational corporations on pay-to-play issues, placement agent regulations, lobbying regulations, gifts and entertainment, revolving door restrictions, campaign finance laws, and issues relating to the federal Freedom of Information Act and state Public Records Acts. Sam has experience with the regulation of municipal securities and municipal advisors, as well as other securities regulation and enforcement matters. Sam also counsels financial services clients on anti-money laundering and anti-corruption issues.

Sanjay Lamba is is Assistant Counsel at the Investment Adviser Association. Prior to joining the IAA in 2013, Sanjay worked at the SEC 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. He received his B.S. degree in Finance from George Mason University and his law degree from Boston University.

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, June 16, 2015. There are no refunds for cancellations received after this date. Email your requests to

 

 

Webinar – Duties and Responsibilities of Compliance Officers

Thursday May 28, 2015
2:00 - 3:15 p.m. (ET)

Topics Covered

The responsibility of compliance officers, especially CCOs, has increased significantly in the past few years. The purpose of this webinar is to make compliance officers aware of the various types of compliance issues they face and to help them avoid potential pitfalls.

Panelists will explore:

  • The duties and responsibilities of compliance officers in the current regulatory landscape
  • Whether the rise in the number of CCOs being named in recent SEC enforcement cases signals a change in the responsibility of compliance officers
  • Perspectives on what CCO liability really means in practice
  • Issues that can arise when compliance officers take on additional or non-compliance related responsibilities

Presenters

  • Sanjay Lamba, Assistant General Counsel, IAA (Moderator)
  • Deborah A. Hammalian, Senior Vice President and Chief Compliance Officer, Voya Investment Management
  • Robert E. Plaze, Partner, Stroock & Stroock & Lavan LLP

Register Today

Registration for the live event has closed, but the recording can still be purchased by clicking the "Register" button on this page.

Live Recording Both
Members and Associate Members $125* $125 $200
Non-Members $250* $250 $475
*Per computer login
Registration closes on Tuesday, May 26 at 5:00 p.m.

 

Questions?

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

About the Presenters

Deborah A. Hammalian is Senior Vice President and Chief Compliance Officer for Voya Investment Management. Prior to joining the firm in 2013, she was the Chief Compliance Officer and Deputy Chief Risk Officer for Allianz Global Investors U.S., responsible for the management of the firm’s compliance program and implementation of the firm’s risk management strategy. Earlier in her career, Deborah served as Assistant Secretary and Treasurer of the Nicholas-Applegate Institutional Funds and prior thereto, supported the corporate governance and compliance program for Pacific Mutual’s variable life and annuity offerings. She earned a B.A. from National University, an MBA from the UCLA Anderson School of Management and holds FINRA Series 63, Series 65, Series 6, Series 7 and Series 24 licenses.

Robert E. Plaze is a partner with the Washington office of Stroock & Stroock & Lavan LLP. He represents investment advisers, mutual funds and other types of registered investment companies (and their independent board members), as well as industry service providers. Before joining Stroock, Bob served as Deputy Director of the Division of Investment Management of the U.S. Securities and Exchange Commission. There, Bob was responsible for policy development and management of many key regulatory initiatives affecting investment companies and investment advisers under the Investment Company Act of 1940 and the Investment Advisers Act of 1940. He received his A.B. and J.D. from Georgetown University.

Sanjay Lamba is Assistant Counsel at the Investment Adviser Association. Prior to joining the IAA in 2013, Sanjay worked at the SEC 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. 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) Tuesday, May 26, 2015. There are no refunds for cancellations received after this date. Email your requests to

 

 

CFTC Webinars – 2 Sessions

One Fee Includes Both Sessions

This two-part webinar series will address key CFTC and NFA regulatory and compliance topics for SEC-registered investment advisers also registered as CPOs or CTAs, and buy-side issues for investment advisers involved in the derivatives markets on behalf of clients. One registration fee includes access to the live webinars and the recording links for both webinars.

Session 1 of 2:

Hot Topics in CPO and CTA Regulation and Compliance

Wednesday, May 13
1:00 - 2:15 p.m. (ET)

Topics Covered

  • CPO and CTA registration requirements, including treatment of offshore funds and advisers
  • Compliance with CFTC recordkeeping and form reporting requirements
  • Compliance with NFA regulation of associated persons and principals and Bylaw 1101

Presenters

  • Monique S. Botkin, Associate General Counsel, Investment Adviser Association, Moderator
  • Cary J. Meer, Partner, K&L Gates LLP
  • Beth Clark, Of Counsel, K&L Gates LLP
  • Mary T. Lomasney, Managing Director, BNY Mellon
  • Karen A. Aspinall, Senior Vice President, Senior Counsel, PIMCO

Session 2 of 2:

Hot Topics in Derivatives Regulation: Issues for the Buy Side

Wednesday, June 3
1:00 - 2:15 p.m. (ET)

Topics Covered

  • Key concerns raised by the CFTC’s proposed margin requirements for uncleared swaps
  • The role of CCPs and margin and collateral management
  • Ownership and control (OCR) reporting
  • SEF trading issues
  • ISDA Resolution Stay Protocol and documentation
  • Cross border issues

Presenters

  • Monique S. Botkin, Associate General Counsel, Investment Adviser Association, Moderator
  • Ruth S. Epstein, Partner, Stradley Ronon Stevens & Young, LLP
  • Matt K. Kerfoot, Partner, Dechert LLP
  • Philip T. Hinkle, Associate, Dechert LLP
  • Michael Insalaco, Counsel, INVESCO Advisers, Inc.

Registration

Registration for the live events has closed, but the recording can still be purchased by clicking the "Register" button on this page.

Members and Associate Members $200*
Non-Members $475*
*Per computer login

 

Cancellations and substitutions must be received in writing no later than 5:00 p.m. (ET) Monday, June 1, 2015. There are no refunds for cancellations received after this date. Email your requests to lisa.gillette@investmentadviser.org.

Questions?

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

About the Presenters

Karen A. Aspinall is a Senior Vice President and Senior Counsel in the legal and compliance department of PIMCO. Prior to joining PIMCO in 2010, she was a Senior Vice President and Assistant General Counsel at Nuveen Investments. She has 14 years of legal experience and holds a J.D. from The Washington College of Law at American University, where she also received her undergraduate degree.

Beth Clark is Of Counsel in K&L Gates’ Washington, D.C. office. She concentrates her practice in the investment management and securities areas where she advises participants in the financial services industry, including investment advisers, private fund managers, alternative investment vehicles and brokerage firms. In particular, Ms. Clark focuses on creating and counseling U.S. and non-U.S. private funds, including hedge funds, private equity funds and venture capital funds.

Ruth S. Epstein is a Partner at Stradley Ronon Stevens & Young. She has more than 30 years of corporate, securities and financial services experience, including five years with the Securities and Exchange Commission in the Division of Enforcement and the Office of General Counsel. Among many other responsibilities, Ms. Epstein assists clients in responding and adapting to expanded regulation of their industry by the Commodity Futures Trading Commission (CFTC) and the National Futures Association (NFA).

Philip T. Hinkle is an Associate at Dechert LLP. He regularly advises U.S. registered and private investment funds and their boards, investment managers and other financial institutions on a variety of investment management and commodities and derivatives matters. Mr. Hinkle has significant experience with registered funds’ use of commodities and derivatives, and alternative strategies and related restrictions under the Investment Company Act of 1940. He is actively engaged in the firm’s global commodities and derivatives practice. He regularly works with U.S. and non-U.S. investment managers and other financial institutions in engaging in a range of derivatives transactions, including compliance with new requirements adopted under Dodd-Frank. Mr. Hinkle also advises investment managers on matters arising under the Commodity Exchange Act and CFTC regulations affecting their businesses, including requirements on commodity pool operators or commodities trading advisors.

Michael Insalaco is a member of Invesco's legal group in Houston, supporting Invesco's family of mutual funds and collective trust program of Invesco Trust Company, particularly in matters related to derivatives investing and derivatives regulation. Mr. Insalaco also provides legal support to Invesco’s internal clients, including portfolio managers, product development, trading and compliance. Prior to joining Invesco, Michael worked as a senior associate at Schulte Roth & Zabel LLP, where he represented investment advisers, registered investment companies and private funds and practiced in the areas of derivatives and structured finance.

Matthew K. Kerfoot is Partner at Dechert LLP. Mr. Kerfoot advises many of the world’s largest asset managers and financial institutions on the structuring and development of their alternative mutual funds, business development companies, exchange-traded funds and structured products. Mr. Kerfoot has particular expertise in providing derivatives-focused solutions to address regulatory, tax and financing needs for mutual funds, ETFs, BDCs and corporates.

Mary T. Lomasney is currently a Managing Director in the Corporate Compliance Department of BNY Mellon, supporting the Asset Management Division. Ms. Lomasney joined BNY Mellon in 2005 and has held various senior level compliance positions with the firm. She works with the CCOs of the many BNY Mellon registered investment advisers, coordinating the implementations of new rules and regulations across the firms. Ms. Lomasney has passed the CPA exam and is also Series 6, 7, 24, 26 and 63 registered with FINRA.

Cary J. Meer is a Partner with K&L Gates LLP and a member of the Investment Management and Hedge Fund practice groups. 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.

Monique S. Botkin (moderator) is Associate General Counsel of the Investment Adviser Association. Prior to joining the IAA in February 2004, Ms. Botkin was an associate in the financial services groups at Dechert LLP and Alston & Bird LLP. While in private practice, Ms. Botkin represented investment advisers, registered investment companies, private funds, and broker-dealers in corporate, securities and investment management matters. Monique also served as an attorney in the SEC's Division of Investment Management disclosure review office from 2013 to 2014.

 

 

 

Webinar – Compliance Training Techniques

Friday May 8, 2015
1:00 - 2:15 p.m. (ET)

Topics Covered

Investment advisers remain under pressure from regulators and clients to maintain robust compliance programs. Firms are looking for creative ways to best communicate and reinforce their policies and procedures. This webinar will address how to effectively and efficiently conduct compliance training, including:

  • Strategies for training new employees, investment staff, and senior executives;
  • Sample training materials – quizzes, games, and more;
  • Compliance breaks as learning opportunities;
  • Use of technology in compliance training; and
  • Beyond acknowledgements – assessing understanding.

Presenters

  • Laura L. Grossman, IAA (Moderator)
  • David Lui, Principal, Galliard Capital Management, Inc.
  • Marla Roeser, Director of Compliance and Risk Management, Convergent Wealth Advisors

Register Today

Registration for the live event has closed, but the recording can still be purchased by clicking the "Register" button on this page.

Live Recording Both
Members and Associate Members $125* $125 $200
Non-Members $250* $250 $475
*Per computer login

 

Questions?

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

About the Presenters

Laura Grossman is Assistant General Counsel of the Investment Adviser Association. Prior to joining the IAA, Laura was in private practice for over 10 years 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 pertaining to the Investment Advisers Act and other federal securities laws, the Commodity Exchange Act and associated regulations, and a wide range of compliance issues. Laura received her B.A., summa cum laude, from Rutgers College, and she received her law degree from the University of Pennsylvania. She is a member of the New York, New Jersey, and District of Columbia Bars.

David Lui is Principal at Galliard Capital Management, a wholly-owned subsidiary of Wells Fargo in Minneapolis with over $85 billion in assets under management. Prior to joining Galliard, David was the Chief Compliance Officer of U.S. Bancorp Asset Management and Franklin Advisers and Chief Compliance Counsel for Charles Schwab in San Francisco. David earned his B.A. in history from Brown University, and a J.D. from the University of California, Hastings College of Law, in San Francisco. He has been admitted to practice law in both California and Minnesota. He is a past Chairman of the Board of Directors of the National Society of Compliance Professionals and is a nationally recognized speaker on compliance issues. David has more than 25 years of experience in compliance and investment company law.

Marla Roeser is the Director of Compliance and Risk Management at Convergent Wealth Advisors. She is responsible for ensuring Convergent’s conformity with regulatory requirements for registered investment advisers, securities products, and its fiduciary duty to clients. She works closely with Convergent’s privately offered funds and works with research on its operational due diligence processes. She also oversees the internal Risk Management Committee. Marla has over fifteen years of experience in federal securities regulation and holds her FINRA Series 7, 24, and 63 licenses. Marla started her career as an attorney in the SEC’s Division of Trading and Markets trading practices group and was an attorney examiner at the LA regional office of the SEC. She earned a B.A. at the University of California at Santa Barbara and graduated from Pepperdine University School of Law with a J.D., cum laude. She is a member of the California State Bar.

Registration Cancellation or Substitution

For the live webinar, cancellations and substitutions must be received in writing no later than 5:00 p.m. (ET) Wednesday, May 6, 2015. There are no refunds for cancellations received after this date. Email your requests to lisa.gillette@investmentadviser.org.

 

 

Webinar – GIPS Hot Issues for Investment Advisers

Thursday, April 9, 2015
2:00 - 3:15 p.m. (ET)

Topics Covered

This webinar will identify and explore prominent issues that investment advisory firms encounter and resolve when reporting performance numbers in accordance with Global Investment Performance Standards (GIPS). This session will address:

  • GIPS standards and trends
  • The SEC and GIPS compliance
  • Hot topics for GIPS compliance and reporting

Presenters

  • Paul Glenn, Special Counsel, IAA (Moderator)
  • Justin S. Guthrie, CFA, Partner, ACA Performance Services, and Chairman of the US Investment Performance Committee
  • Todd Healy, Vice President, BMO Asset Management

Register Today

Registration for the live event has closed, but the recording can still be purchased by clicking the "Register" button on this page.

Live Recording Both
Members and Associate Members $125* $125 $200
Non-Members $250* $250 $475
*Per computer login

 

Questions?

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

About the Presenters

Paul D. Glenn is Special Counsel of the Investment Adviser Association. Previously, he worked at the SEC as a trial attorney and special counsel in the Division of Enforcement and the Office of General Counsel, respectively. He also worked as Deputy Chief Counsel and Special Counsel at the Office of the Comptroller of the Currency (OTS); as Vice President and Director of Compliance for PNC Bank N.A. in Washington, D.C. (formerly Riggs) and Washington First Bank N.A. (Millennium) in Reston, Va.. He holds an LL.M from Georgetown, J.D. and B.A. from Case Western Reserve University, and an honorary doctor of laws degree from Nyack College.

Justin S. Guthrie, CFA, CPA, is a managing partner at ACA Performance Services, a division of ACA Compliance Group. His primary responsibilities include serving as a partner on traditional and alternative GIPS verification engagements and overseeing the day-to-day operations of the GIPS verification and consulting division of ACA. Previously, Justin served as an auditor at Ernst & Young. He is co-author of the survey “The Value of GIPS Compliance—2014 Manager and Consultant Survey.” Justin holds a BS in accounting and a master’s degree in accounting from the University of Tennessee, Knoxville.

Todd Healy is Vice President, Head of Investment Operations at BMO Asset Management (Bank of Montreal). He oversees the teams responsible for portfolio accounting, trade settlement, performance measurement, alternative asset operations, operations analysts and project management. Todd is a member of the BMO Asset Management Risk Committee, the Trust Operations Committee, and is the Chairperson of the New Business Committee and the Valuation/Pricing Committee. Prior to joining BMO, Todd held similar positions with McDonnell Investment Management and U.S. Bancorp Asset Management. He holds a BA from Concordia University and an MBA from Marquette University.

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 7, 2015. There are no refunds for cancellations received after this date. Email your requests to lisa.gillette@investmentadviser.org.

 

2015 Webinar - Cybersecurity Series

Co-hosted by:
 

The IAA and K&L Gates are co-hosting a complimentary five-part webinar series that addresses cybersecurity issues. Registration information and further details for each webinar will be posted as it becomes available.

Session 1: February 27, 2015, 1:00 - 3:00 p.m. ET
Untangling the Gordian Knot – Where to Begin When Building Your Cybersecurity Program

An introductory roadmap for approaching cybersecurity.
Panelists

  • Mark C. Amorosi, Investment Management Partner, K&L Gates (Moderator)
  • Laura L. Grossman, Assistant General Counsel, Investment Adviser Association
  • András P. Teleki, Investment Management Partner, K&L Gates
  • E.J. Yerzak, Vice President of Technology, Ascendant Compliance Management
Recording Available: To request a complimentary recording link, go to this page.

 

Session 2: March 23, 2015, 4:00 - 6:00 p.m. ET
Board and Senior Management Oversight of Cybersecurity at the Adviser, the Registered Fund and Their Service Providers

Information on the fiduciary and other responsibilities of board members and senior management of investment advisers, as well as registered investment companies, in connection with cybersecurity matters.
Panelists

  • Mark C. Amorosi, Investment Management Partner, K&L Gates (Moderator)
  • Laura L. Grossman, Assistant General Counsel, Investment Adviser Association
  • Jeffrey B. Maletta, Securities and Transactional Litigation Partner, K&L Gates
  • András P. Teleki, Investment Management Partner, K&L Gates
Recording Available: To request a complimentary recording link, go to this page.

 

Session 3: April 29, 2015, 4:00 - 6:00 p.m. ET
Testing Your Cybersecurity Infrastructure and Enforcement Related Developments

The program will focus on compliance testing of policies and procedures and “white hat” testing of information technology systems as well as regulatory enforcement activity around cybersecurity programs.
Panelists

  • Mark C. Amorosi, Investment Management Partner, K&L Gates (Moderator)
  • Laura L. Grossman, Assistant General Counsel, Investment Adviser Association
  • Jeffrey B. Maletta, Securities and Transactional Litigation Partner, K&L Gates
  • András P. Teleki, Investment Management Partner, K&L Gates
Recording Available: To request a complimentary recording link, go to this page.

 

Session 4: June 11, 2015, 4:00-6:00 p.m. ET
Breach – What to Do When Things Go Wrong and Cybersecurity Insurance Coverage

How to handle a breach that results in the loss of personally identifiable information or other sensitive information.
Panelists

  • Mark C. Amorosi, Investment Management Partner, K&L Gates (Moderator)
  • Laura L. Grossman, Assistant General Counsel, Investment Adviser Association
  • András P. Teleki, Investment Management Partner, K&L Gates
  • Jason Warmbir, Vice President, Head of Cyber Placement Team, Willis Group Holdings Limited
  • Gregory S. Wright, Insurance Coverage Partner, K&L Gates
Recording Available: To request a complimentary recording link, go to this page.

 

Session 5: June 25, 2015, 4:00 - 6:00 p.m. ET
Building a Better Mousetrap – Evolving Trends in Cybersecurity Practices and Public Policy Developments

Current trends in cybersecurity practices and how advisers can make their information technology environments stronger.

  • András P. Teleki, Investment Management Partner, K&L Gates (Moderator)
  • Soyong Cho, Financial Institutions and Services Litigation Partner, K&L Gates
  • Laura L. Grossman, Assistant General Counsel, Investment Adviser Association
  • Jason Harrell, Corporate SIRO - Investment Management, BNY Mellon
  • Michael J. O'Neil, Public Policy and Law Partner, K&L Gates
Recording Available: To request a complimentary recording link, go to this page.

 

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