2016

 

Webinar – Understanding Form ADV Part 1 Amendments

Wednesday, December 7, 2016
2:00 – 3:15 p.m. (ET)

This webinar will address changes the SEC recently adopted to Form ADV Part 1 that require firms to report detailed information about their separately managed accounts (SMAs). Advisers with over $500 million in SMAs will need to provide the gross notional exposure of derivatives and information about borrowings in those accounts, and advisers with over $10 billion in SMAs will report additional data on derivatives use in the SMAs.

Topics Covered

This webinar will go through all of the new amendments item-by-item, including a discussion of:

  • Accounts that are “SMAs” for which firms must report asset types, derivatives exposures, and borrowings information.
  • Additional information firms must provide about custodians for SMAs, advisers’ offices, CCOs, social media, and types of clients.
  • How firms are to report their RAUM attributable to each type of client.
  • Who is eligible to use new umbrella registration on Schedule R.

Speakers

  • Bridget Farrell, Senior Counsel, Division of Investment Management, SEC
  • Jennifer H. Songer, Senior Counsel, Division of Investment Management, SEC
  • Jennifer L. Klass, Partner, Morgan Lewis & Bockius LLP
  • Monique S. Botkin, Associate General Counsel, Investment Adviser Association

Registration

Registration for the live event is now closed. Click the "Register" button on this page to order the recording.

IAA Members and IAA Associate Members: The live webinar and recorded webinar are complimentary. (Registrations made on or before November 11 are automatically registered for both the live webinar and the recording.)

Non-Members: The live webinar is $250 (per computer logon). The recorded webinar is $250. The cost for both is $475.

Paid Registration Cancellation or Substitution

For paid registrations, cancellations and substitutions must be received in writing no later than 5:00 p.m. (ET) Monday, December 5, 2016. There are no refunds for cancellations received after this date. Email your requests to megan.olson@investmentadviser.org.

Questions

If you have questions regarding this webinar, contact the IAA at (202) 293-4222 or at to iaaservices@investmentadviser.org.

 

2016 IAA Post-Election Briefing Call: How the Election Results Might Affect Investment Advisers

 

IAA Post-Election Briefing Call: How the Election Results Might Affect Investment Advisers

Thursday, November 10, 2016
2:00 - 2:30 p.m. ET (1:00 p.m. CT, 11:00 a.m. PT)

Overview

In this half-hour “quick take” briefing, IAA senior staff will provide their first impressions on the election and its potential impact on the legislative and regulatory issues that affect investment advisers.

Speakers

Investment Adviser Association Senior Staff:
Karen L. Barr, President & Chief Executive Officer
Robert C. Grohowski, General Counsel
Neil Simon, Vice President for Government Relations

Registration

Registration for the live event has closed. The recording is available to members and associate members here.

 



 

Webinar - ERISA Fiduciary Update: Changes Investment Advisers Should Put in Place Before April 10

Friday, October 21, 2016
2:00 – 3:15 p.m. (ET)

Learn about the changes your firm needs to make before the Department of Labor’s final rule on the definition of fiduciary under ERISA goes into effect on April 10, 2017.

Topics Covered

This webinar will provide an update on the implementation of the DOL’s rule on the definition of fiduciary under ERISA. Expert speakers will discuss the final rule, the Best Interest Contract exemption, and other DOL guidance. The presentation will address the rule’s impact on:

  • Marketing your investment management services
  • RFP responses
  • Rollover recommendations
  • Onboarding procedures
  • Investment management agreements

Presenters

  • David C. Kaleda, Principal, Groom Law Group
  • George M. Sepsakos, Associate, Groom Law Group
  • Kathy D. Ireland, Associate General Counsel, IAA (moderator)

Webinar Audio Platform

Audio for this webinar will be broadcast through the internet via your computer speakers. There is no telephone dial-in option. You may consider using headphones. The webinar will be recorded and the recording link sent to you within a week after the live event.

Registration

Registration for the live event is now closed. Click the "Register" button on this page to order the recording.

IAA Members and IAA Associate Members: The live webinar and recorded webinar are complimentary. (Registrations made on or before October 19 are automatically registered for both the live webinar and the recording.)

Non-Members: The live webinar is $250 (per computer logon). The recorded webinar is $250. The cost for both is $475.

Questions?

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

About the Presenters

David C. Kaleda is a Principal in the Fiduciary Responsibility practice group at Groom Law Group. Mr. Kaleda has an extensive background in the employee benefits and financial services sector. His broad range of experience includes handling fiduciary matters impacting plan sponsors, investment and fiduciary committees, investment managers and advisers, record keepers, and other service providers. He advises clients on the avoidance and resolution of prohibited transaction issues, the structuring of alternative investment funds (including "plan asset" funds, real estate operating companies, and venture capital operating companies), and day-to-day compliance issues arising under ERISA and the Internal Revenue Code. He also has substantial experience dealing with tax issues involving qualified plans and representing clients before the DOL and the IRS. Mr. Kaleda served on the DOL's ERISA Advisory Council for a three-year term (2012-2014). Download to see image
George M. Sepsakos is an Associate in the Fiduciary Responsibility group at Groom Law Group. His practice focuses primarily on issues related to Title I of ERISA, including fiduciary responsibility and prohibited transaction issues. Prior to joining the firm, Mr. Sepsakos worked as an ERISA Enforcement Advisor within the Office of Enforcement of the Department of Labor's Employee Benefits Security Administration. Download to see image
Kathy D. Ireland is Associate General Counsel for the IAA, where her expertise includes ERISA related issues. Prior to joining the IAA, she acted as an independent consultant focusing on pension and securities issues. In addition, Ms. Ireland worked at the Investment Company Institute for 12 years, representing the mutual fund industry in regulatory matters before the DOL, 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 Of Counsel in the Washington, D.C. office of Gibson, Dunn & Crutcher. She is a member of the District of Columbia and Maryland Bars. Ms. Ireland earned 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. Download to see image

Paid Registration Cancellation or Substitution

For paid registrations, cancellations and substitutions must be received in writing no later than 5:00 p.m. (ET) Wednesday, October 19, 2016. There are no refunds for cancellations received after this date. Email your requests to megan.olson@investmentadviser.org.

 

2016 Webinar - IAA Briefing: Assessing the Regulatory Landscape

 

Webinar – IAA Briefing: Assessing the Regulatory Landscape

Thursday, September 8, 2016
1:00 – 2:00 p.m. (ET)

Overview

The IAA legal team is presenting a complimentary Briefing Webinar that will update members on anticipated legislative, legal, regulatory, and compliance developments and what investment advisers may expect during the final months of 2016 and early 2017. Topics include updates on Capitol Hill, the SEC, the CFTC, Department of Labor, Treasury Department, and international regulators.

Registration

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

Questions?

Contact the IAA events team at iaaevents@investmentadviser.org.



2016 Webinar - Brexit: Implications for U.S. Asset Managers

Brought to you by:

Friday, July 8
12:00 - 1:00 p.m. ET

This webinar will discuss the implications for the financial services sector in the wake of the United Kingdom’s vote to leave the European Union. We will discuss the implications and effects that this decision could have on passporting, AIFMD, UCITS, MiFID, EMIR, listing requirements and what you can do to plan ahead.

Presenters

  • Simon Curri, Morgan Lewis
  • Timothy Levin, Morgan Lewis
  • William Yonge, Morgan Lewis

Registration

To access the recording, click here. (You will be directed to the Morgan Lewis site.)

CLE Credit

CLE credit is available in certain states.

Questions

For registration questions, please email Leah Rosenblum at leah.rosenblum@morganlewis.com. For all other questions, contact the IAA at IAAEvents@investmentadviser.org or (202) 293-4222.



 

Webinar - Pay-to-Play for Investment Advisers: New Developments and Hot Topics for the 2016 Election

Friday, June 17, 2016
2:00 - 3:00 p.m. (ET)

Topics Covered

With hard-fought primary contests, upcoming party conventions, and unprecedented political giving, the 2016 elections are in full swing. The final months before an election often see an uptick in political giving, particularly by employees who may not otherwise be politically active. There is one "covered official" (i.e. a candidate covered by SEC Rule 206(4)-5) still in the Presidential race, a number under consideration for Vice Presidential nominations, and even more entering Senate and Congressional races -- meaning that the risks of an inadvertent "pay-to-play" violation are significant and growing. This landscape is complicated by the continued rise of alternative political vehicles -- including SuperPACs, Joint Fundraising Committees, 501(c)(4) organizations, and Leadership PACs -- each of which can present unique pay-to-play risks. Meanwhile, the SEC has signaled a strong interest in "pay-to-play" from both an enforcement and examination perspective, while maintaining a full docket of exemptive relief applications.

This webinar is intended to provide investment advisers with an overview of pay-to-play issues, with a focus on developments for the 2016 election. In particular, the webinar will cover:

  • Federal, state, and local pay-to-play laws, including SEC Rule 206(4)-5.
  • New developments in the 2016 election cycle, with strategies for addressing compliance risks.
  • A review the SEC's exemptive relief docket, with lessons learned for advisers and compliance professionals.

Presenters

  • Charles Borden, Partner, Allen & Overy LLP
  • Sam Brown, Associate, Allen & Overy LLP
  • Sanjay Lamba, Assistant Counsel, Investment Adviser Association (moderator)

Registration

Registration for the live event is now closed. Click the "Register" button on this page to order the recording.

Live Recording Both
Non-Members $250* $250 $475*

*Per computer login

IAA Webinars are complimentary for IAA Members and Associate Members

Note: IAA Members and IAA Associate Members who register on or before June 15 are automatically registered for both the live webinar and the recording.

Questions?

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

About the Presenters

Charles Borden leads Allen & Overy’s Political Law Practice. He regularly counsels multinational corporations on the intersection of law and political activity, including regulatory and compliance obligations and the political and reputational consequences of political activity. Mr. Borden co-teaches a course on government ethics at Harvard Law School, where he is a Visiting Lecturer in Law.

Sam Brown is an Associate at Allen & Overy. His practice focuses on political law issues related to commercial interactions with public sector entities. He has experience with the regulation of municipal securities and municipal advisors, as well as other securities regulation and enforcement matters. Mr. Brown joined Allen & Overy after serving as Counsel to Commissioner Ellen Weintraub of the Federal Election Commission.

Sanjay Lamba (moderator) is Assistant General Counsel at the Investment Adviser Association. Prior to joining the IAA in 2013, Mr. Lamba 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.

Paid Registration Cancellation or Substitution

For paid registrations, cancellations and substitutions must be received in writing no later than 5:00 p.m. (ET) Wednesday, June 15, 2016. There are no refunds for cancellations received after this date. Email your requests to lisa.gillette@investmentadviser.org.

 

 

Webinar - Results of the 2016 Investment Management Compliance Testing Survey

Wednesday, June 8, 2016
1:00 - 2:15 p.m. (ET)

Topics Covered

Speakers from the Investment Adviser Association and ACA Compliance Group will present the results of this year’s Investment Management Compliance Benchmarking Survey. You will gain insights regarding best practices, emerging trends, and hot issues in investment adviser compliance.

Presenters

  • Lynne M. Carreiro, Managing Director, ACA Compliance Group
  • Sanjay Lamba, Assistant General Counsel, Investment Adviser Association

Recording

Click the "Register" button on this page to obtain a recording. Live registration is closed.

Live Recording Both
Survey Participants1 $0 $0 $0
Others $1002 $100 $200

1 Enter the complimentary webinar registration code you were given when you completed the survey.
2 Per computer log in

Questions?

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

About the Presenters

Lynn Carreiro has progressed to Managing Director at ACA, having joined the firm in 2005. She advises both registered and unregistered clients, with respect to the design, drafting and implementation of customized compliance programs. In addition, she performs mock SEC examinations, procedural reviews, and forensic testing audits. Lynne also specializes in assisting advisers with international regulatory issues following her re-location to London. Lynne began her regulatory career as a Securities Compliance Examiner with the SEC. She graduated from Trinity College with degrees in Political Science and International Relations. She obtained her law degree from Vermont Law School.
Sanjay Lamba has over 17 years of experience regarding all aspects of investment management law and regulation. 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 in 2010. Sanjay started his career in private practice advising investment companies and investment advisers in securities related matters. He received his B.S. in Finance from George Mason University and his law degree from Boston University.

Paid Registration Cancellation or Substitution

For paid registrations, cancellations and substitutions must be received in writing no later than 5:00 p.m. (ET) Monday, June 6, 2016. There are no refunds for cancellations received after this date. Email your requests to lisa.gillette@investmentadviser.org.

 

 

Webinar - Revisiting Your Code of Ethics

Wednesday, May 25, 2016
1:00 - 2:15 p.m. (ET)

Topics Covered

Is it time to revisit your Code of Ethics? Expert panelists will guide attendees through key issues that investment advisers should consider in assessing their existing Codes of Ethics, including:

  • Who should be involved in the process?
  • Who should be covered by the Code?
  • What should be covered in the Code?
  • What should be the consequences of violations of the Code?
  • Perennial questions

Presenters

  • John H. Walsh, Partner, Sutherland Asbill & Brennan LLP
  • Michael B. Koffler, Partner, Sutherland Asbill & Brennan LLP
  • Kathy D. Ireland, Associate General Counsel, IAA (Moderator)

Registration

Registration for the live event is now closed. Click the "Register" button on this page to order the recording.

Live Recording Both
IAA Members and Associate Members $0 $0 $0
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

John H. Walsh is a Partner in Sutherland’s Financial Services Group and a member of the Securities Enforcement and Litigation Team. As a 23-year veteran of the Securities and Exchange Commission (SEC), he played a key role in creating the Office of Compliance Inspections and Examinations (OCIE) and held several high-ranking positions on committees and task forces. Mr. Walsh received his J.D. for Georgetown University Law Center, a Ph.D. from Boston College, an M.A. from Northeastern University, and his B.A., summa cum laude, from Worchester State University. Download to see image
Michael B. Koffler is a Partner in Sutherland’s Financial Services Group. He guides investment advisers, broker-dealers and investment funds in their compliance with federal and state securities laws and regulations, and SRO rules. Mr. Koffler served two years on the staff of the U.S. Securities and Exchange Commission (SEC) in the Division of Investment Management, where he reviewed registration statements, no-action requests, exemptive applications and proxy statements. He received his J.D. from the University of Pennsylvania Law School and his B.A., summa cum laude, from the State University of New York at Binghamton. Download to see image
Kathy D. Ireland (moderator) is Associate General Counsel of the Investment Adviser Association. Prior to joining the IAA, she 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 DOL, 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. Download to see image

Paid Registration Cancellation or Substitution

For paid registrations, cancellations and substitutions must be received in writing no later than 5:00 p.m. (ET) Monday, May 23, 2016. There are no refunds for cancellations received after this date. Email your requests to lisa.gillette@investmentadviser.org.

 

2016 New Rules

 

Webinar - What SEC-Registered Investment Advisers Need to Know About the New ERISA Fiduciary Rules

Tuesday, May 17, 2016
1:00 - 2:15 p.m. (ET)

Topics Covered

This webinar will discuss the recent changes to the ERISA rules on fiduciaries and how they may affect SEC-registered investment advisers in the following areas:

  • Will RFPs and Other Promotional Activities Trigger Fiduciary Status?
  • Will the Best Interest Contract Exemption Be Necessary for Investment Advisers?
  • Will Model Portfolio Providers, Mutual Fund Wholesalers and Referral Providers Be ERISA Fiduciaries?
  • How Will Changes to Prohibited Transaction Exemptions Affect My Operations?
  • Did the DOL Cover Active versus Passive Investments, Permissible Investments and Valuation Activities?
  • Other Questions

Presenters

  • Rob Sichel, Partner, K&L Gates LLP
  • Kristina Zanotti, Partner, K&L Gates LLP
  • Kathy D. Ireland, Associate General Counsel, IAA (Moderator)

Registration

Click the "Register" button on this page.

Live Recording Both
IAA Members and Associate Members $0 $0 $0
Non-Members $250* $250 $475*

*Per computer login

NOTE: The webinar is devoted to industry professionals. Press will not be permitted.

Have your Questions Addressed

To have your questions about the new ruling addressed during the webinar, submit them ahead of time to kathy.ireland@investmentadviser.org.

About the Presenters

Download to see image
Robert Sichel is a partner in the New York office of K&L Gates, where he is a member of the Investment Management practice group and oversees the ERISA Fiduciary practice. He has extensive experience helping financial institutions and corporate retirement plans navigate the complexities of ERISA, as well as issues under the Dodd-Frank Act that pertain to “special entities.” Prior to joining K&L Gates, Mr. Sichel held senior positions at several large financial institutions. In addition, he was an executive director in the legal department at a global financial services firm. He received his J.D. from Villanova University School of Law, an LL.M. from New York University School of Law, and his undergraduate degree from the College of New Jersey.
 
Download to see image Kristina M. Zanotti is a partner in the investment management practice group of K&L Gates, concentrating in the areas of employee benefits and derivatives transactions. Ms. Zanotti represents financial services clients in connection with swap and other derivatives transactions and in negotiating master agreements, including ISDAs, Master Repurchase Agreements, Master Securities Forward Transaction Agreements, futures agreements, cleared derivatives documentation, and related agreements. She received a J.D. from Yale Law School and a B.A. from the College of William and Mary.
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.

Paid Registration Cancellation or Substitution

For paid registrations, cancellations and substitutions must be received in writing no later than 5:00 p.m. (ET) Friday, May 13, 2016. There are no refunds for cancellations received after this date. Email your requests to lisa.gillette@investmentadviser.org.

 

 

Webinar - Anti-Money Laundering for Advisers: Prepare for New Regulations

Thursday, May 12, 2016
2:30 - 3:45 p.m. (ET)

Topics Covered

FinCEN has proposed new Anti-Money Laundering rules for SEC-registered investment advisers.The new rules could be released as early as this summer.This webinar will provide you with the latest insights from the legal, compliance, and SEC vantage points, including:

  • Proposed rules: what’s in them and what’s not
  • Current status of the proposal
  • SEC’s AML oversight
  • Practical AML points

Presenters

  • Christian Hennion, Partner, Katten Muchin Rosenman LLP
  • Richard Kircher, Assistant Director, Operational Compliance, Putnam Investment Management, LLC
  • Eric Kringle, Attorney, SEC Division of Enforcement
  • Paul D. Glenn, Special Counsel, IAA (Moderator)

Registration

Click the "Register" button on this page.

Live Recording Both
IAA Members and Associate Members $0 $0 $0
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

Download to see image
Christian B. Hennon is a partner at Katten Muchin Rosenman LLP and concentrates his practice in financial services and asset management matters, including counseling fund managers, registered investment advisers and commodity trading advisors on both transactional and regulatory matters. Mr. Hennion has advised a wide range of US and international managers, from start-ups to large institutions, on matters relating to the SEC and CFTC including registrations and examinations and related corporate and transactional matters. Previously, he was the executive articles editor of the Chicago-Kent Law Review and a judicial extern to the Honorable Samuel Der-Yeghiayan of the U.S. District Court, Northern District of Illinois.
 
Download to see image Richard T. Kircher is the Assistant Director of Operational Compliance in the Legal & Compliance Division at Putnam in Boston. He manages teams responsible for administering the Bank Secrecy Act, USA PATRIOT Act, and OFAC compliance programs adopted by the Putnam mutual funds, Putnam Retail Management Limited Partnership (“PRM”), and Putnam Fiduciary Trust Company. Prior to joining Putnam in 1998, Mr. Kircher was a Compliance Manager at T. Rowe Price Associates. He holds a BA from Washington College in Pennsylvania.
Download to see image Eric Kringel is the Bank Secrecy Act Specialist in the SEC’s Division of Enforcement, where he administers the Division’s BSA Review Program, leads the Division’s Rule 17a-8 Working Group, and works with colleagues on a wide range of AML and BSA policy issues. Mr. Kringel joined the SEC from the Treasury Department’s Financial Crimes Enforcement Network (FinCEN). Prior to that, Mr. Kringel was an attorney in the Bureau of Alcohol, Tobacco, and Firearms’ Office of Chief Counsel, and a contract attorney in the Department of Justice’s Asset Forfeiture and Money Laundering Section. He is a graduate of the University of Nebraska and American University’s Washington College of Law.
Download to see image Paul D. Glenn is Special Counsel for the Investment Adviser Associa­tion. Previously, he worked for 14 years 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 at the Office of the Comptroller of the Currency (OTS), US Treasury, as Deputy Chief Counsel and Special Counsel. Previously, Mr. Glenn served as Vice President and Director of Compliance for PNC Bank N.A. in Washington, DC, (formerly Riggs) and WashingtonFirstBank. He holds an LLM from Georgetown University Law Center, a JD and BA from Case Western Reserve University, and an honorary doctor of laws degree from Nyack College.

Paid Registration Cancellation or Substitution

For paid registrations, cancellations and substitutions must be received in writing no later than 5:00 p.m. (ET) Tuesday, May 10, 2016. There are no refunds for cancellations received after this date. Email your requests to lisa.gillette@investmentadviser.org.

 

 

Webinar - Tips for Managing Compliance Testing and the Annual Review

Friday, April 22, 2016
11:00 a.m. - 12:15 p.m. (ET)

Topics Covered

Learn how to manage your firm’s compliance testing program and annual review process. Hear what the SEC expects firms to do, ways to involve business colleagues, and practical ideas to integrate your firm’s everyday processes into testing, documentation, and the annual review.

Key takeaways:

  • Identify what the SEC might look for in your testing program and annual review
  • Learn how committees can help in the testing process
  • Customize your program to develop reporting processes to senior management
  • Create strong internal controls, “to do” lists, and plans of action
  • Review sample forms for testing and annual review reporting

Presenters

  • Monique S. Botkin, Associate General Counsel, Investment Adviser Association (Moderator)
  • Michelle J. Katauskas, Chief Compliance Officer and Director of Operations, Fairpointe Capital, LLC
  • Michelle B. Kennedy, President, Compass Compliance Services, LLC

Registration

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

Live Recording Both
IAA Members and Associate Members $0 $0 $0
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

Download to see image
Monique S. Botkin is Associate General Counsel of the Investment Adviser Association. Ms. Botkin served as an attorney in the SEC’s Division of Investment Management disclosure review office from 2013 to 2014 and rejoined the IAA in November 2014. Prior to joining the IAA, Ms. Botkin was an associate at Dechert LLP and at Alston & Bird LLP. She earned her B.A. in government and politics from the University of Maryland and her J.D., cum laude, from Southwestern University School of Law, where she was an editor of the Law Review.
 
Download to see image Michelle B. Kennedy is President of Compass Compliance Services, LLC. Formerly Ms. Kennedy served as Vice President and Director of Compliance Platform Services for WealthTrust LLC, an investment management holding company with ten affiliated registered investment advisory firms. Prior to joining WealthTrust, she was Vice President of Greenwood Capital Associates. Ms. Kennedy is past president and founding member of the Advent User Group. She received her B.S. and M.B.A. degrees from Clemson University.
Download to see image Michelle J. Katauskas serves as Chief Compliance Officer and Director of Operations of Fairpointe Capital LLC, and is a member of the firm’s Executive Team. Her responsibilities include all compliance and regulatory affairs for the firm, overseeing back office operations and trading activity. Prior to joining Fairpointe Capital, Ms. Katauskas served as the Chief Compliance Officer and VP of Operations at a predecessor firm. Before that, Ms. Katauskas was employed at William Blair & Company, LLC. Ms. Katauskas received a B.A. in Finance from DePaul University.

Paid Registration Cancellation or Substitution

For paid registrations, cancellations and substitutions must be received in writing no later than 5:00 p.m. (ET) Wednesday, April 20, 2016. There are no refunds for cancellations received after this date. Email your requests to lisa.gillette@investmentadviser.org.

 

 

Webinar - Alternative Investments and the Investment Advisory Practice:
Due Diligence Best Practices

Tuesday, March 29, 2016
1:30 - 2:45 p.m. (ET)

Topics Covered

Choosing alternative investments for your clients isn’t easy. Information can be hard to come by, strategies are often difficult to evaluate, and alternatives managers often aren’t name-brand firms with decades of experience. So, how does an investment advisory firm manage this process?

This webinar will take a broad look at due diligence for alternative investments, reviewing investment due diligence and operational due diligence within the context of compliance considerations. Attendees will be asked to respond to polling questions about their current practices.

Specifically, the webinar will focus on:

  • Investment due diligence for liquid alternative mutual funds: Does the strategy make sense, and will performance continue?
  • Operational due diligence: What factors should you look for, and what kind of follow up procedures should you establish?
  • Compliance: What is the regulatory view of due diligence requirements?

Presenters

  • Mark D. Perlow, Partner, Dechert LLP (Moderator)
  • Josh Charlson, Director of Manager Research, Alternative Strategies, Morningstar
  • Liam Croke, Managing Director, Operational Due Diligence, K2 Advisors LLC

Registration

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

Live Recording Both
Members and Associate Members $0 $0 $0
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

Download to see image
Josh Charlson is Director of Manager Research for Alternative Strategies at Morningstar. In this role, he leads a team of three alternative investment research analysts. Mr. Charlson is also editor of the quarterly newsletter Alternative Investments Observer. He is a member of Morningstar’s Analyst Ratings Committee for alternative strategies and the Stewardship Committee that oversees the Fund Research team’s assessment of fund companies.
 
Download to see image Liam Croke is Managing Director, Operational Due Diligence at K2 Advisors LLC. Previously, he was the Director of Risk Management and Chief Compliance Officer for ACAM Advisors where he was responsible for the firm’s operational due diligence for compliance and fund operations, and a member of the firm’s Research and Investment Committees.
Download to see image Mark Perlow is a partner in Dechert’s financial services and investment practice. He represents mutual funds, hedge fund managers, fund independent directors, investment advisers, and broker-dealers on a broad range of regulatory and transactional matters. Mr. Perlow is a frequent author and speaker on securities law and investment management topics.

Paid Registration Cancellation or Substitution

For paid registrations, cancellations and substitutions must be received in writing no later than 5:00 p.m. (ET) Friday, March 25, 2016. There are no refunds for cancellations received after this date. Email your requests to lisa.gillette@investmentadviser.org.

 

2016 Landscape

2016 Webinar - IAA Briefing: The Regulatory Landscape of 2016

 

Webinar – IAA Briefing: The Latest Regulatory Developments Affecting Advisers

Monday, February 8
2:00 - 3:00 p.m. ET (1:00 p.m. CT, 11:00 a.m. PT)

Overview

The IAA legal team is presenting a complimentary Briefing Webinar that will update members on anticipated legislative, legal, regulatory, and compliance developments and what investment advisers may expect in 2016. Topics include updates on Capitol Hill, the SEC, the CFTC, Department of Labor, Treasury Department, and international regulators.

Questions may be submitted ahead of time to IAAEvents@investmentadviser.org. A more detailed agenda will be circulated to registrants prior to the webinar.

Registration

Registration is complimentary and only open to IAA members and associate members. Space for the live webinar is somewhat limited and available on a first-come, first-served basis.

To register: Registration is now closed. A recording of this webinar is available as a member resource.

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

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.