2017

 

Q&A Session on DOL Fiduciary Rule

Date/Time:
Tuesday, May 30
noon - 1:00 p.m. (ET)

The panel will conduct a Q&A session via a conference call regarding the DOL’s recent non-enforcement policy statement and FAQ guidance. You may submit questions ahead of time for the session by emailing iaaservices@investmentadviser.org.

Presenters

Jenny Eller is Co-Head of Groom Law Group’s Fiduciary practice group. In her practice, Jenny advises financial institutions on the design and delivery of products and services to the retirement plan marketplace, and advises large corporate and public plan sponsors on all aspects of ERISA fiduciary compliance. In her role as practice group Co-Head, Jenny is responsible for ensuring that the strategic direction and new initiatives of the Fiduciary group position the Groom Law Group to serve the needs of its financial institution, corporate and public plan clients. Jenny holds a BA from Avila College, where she graduated magna cum laude, and a JD from Georgetown University Law Center, where she graduated cum laude. Download to see image
David C. Kaleda is a Principal in the Fiduciary Responsibility practice group at Groom Law Group. David has an extensive background in the employee benefits and financial services sector. 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. David served on the DOL's ERISA Advisory Council for a three-year term (2012-2014). Download to see image
Karen Barr (moderator) is President and CEO of the Investment Adviser Association. Before assuming this role in 2014, she served as the IAA’s General Counsel for 17 years, with responsibility for the wide range of legal and regulatory matters affecting the Association and its members. Prior to joining the IAA, Ms. Barr was in private practice at Wilmer, Cutler & Pickering (now WilmerHale), where she represented clients with respect to SEC investigations, securities class action litigation, internal corporate investigations, and securities regulatory matters. Ms. Barr received her B.A. from the University of Pennsylvania and her law degree from the University of Michigan Law School. Download to see image

Registration

Click the "Register" button on this page. Registration is available to members and associate members only.

Registration for the live call closes on Tuesday, May 30 at 10 a.m. (ET).

Cancellation:
Cancellations and substitutions must be received in writing no later than 10 a.m. (ET) Tuesday, May 30, 2017. Email your requests to megan.olson@investmentadviser.org.

Questions?

For questions regarding this call, contact the IAA at (202) 293-4222 or email iaaevents@investmentadviser.org.

 

 

Webinar - Branding and Marketing Communications for Investment Advisers

Date/Time:
Thursday, May 11
3:00 – 4:00 p.m. (ET)

What you think about your company should align with how others perceive your company. This webinar will look at the customer journey and how clients and potential clients interact with your brand. It will explore the practical steps for learning about your audience, strategically communicating with consistency across all media, and improving the crucial moment of engagement.

Topics Covered

Many investment advisers struggle to adequately demonstrate what sets their firm apart. In this webinar you will learn:

  • The importance of communicating with clear messaging about your firm so your target audience can make informed decisions when investing with you
  • How to engage your audience and inspire them to act

Presenter

Paul Leibowitz is President, Chief Creative Officer and Owner of Leibowitz Branding and Design. He oversees integrated brand, print, digital and e-marketing strategies for a variety of clients in financial services, education, media and healthcare. Paul is an associate member of the IAA, a corporate partner of MFEA (Mutual Fund Education Alliance), and a member of AIGA (American Institute of Graphic Artists). He has lectured at Columbia Business School and Syracuse University on entrepreneurism and branding. In addition, Paul has been a Professor of Professional Practice at Syracuse University School of Design where he taught Branding and Communications Design. Download to see image

Webinar Audio Platform

Audio for this webinar will be broadcast through the internet via your computer speakers. Please visit the IAA's Webinar FAQ page or email iaaevents@investmentadviser.org if you have questions.

Registration

Click the "Register" button on this page.

Registration for the live webinar closes on Wednesday, May 10, at noon ET.

IAA Members and IAA Associate Members: The live webinar and a link to the recording are complimentary. Registrations made on or before May 10 at noon ET are automatically registered for both the live webinar and the recording.

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

Cancellation:
Cancellations and substitutions must be received in writing no later than noon (ET) Wednesday, May 10, 2017. There are no refunds for cancellations after this date. Email your requests to megan.olson@investmentadviser.org.

Questions?

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

Sponsor


Since 1998, Leibowitz Branding & Design has been providing the asset management industry with strategic marketing solutions. We grow brands by creating breakthrough visual identities, on-point messaging, and compelling communications across print and digital media. We excel at brand strategy and design, web design and development, content creation for print and digital, and advisor and shareholder communications. Visit www.leibowitzdesign.com for more information.

 

 

Webinar - Risk, Mitigation and Insurance Issues for Investment Advisers

Thursday, May 4, 2017
2:00 – 3:15 p.m. (ET)

Investment advisers face constant challenges to stay current and comply with new and changing regulations in an evolving market place. This webinar will help advisers to better understand these regulations and how they may reduce or mitigate certain risks with insurance.

Topics Covered

This webinar will address:

  • Risk identification
  • Risk mitigation
  • Available insurance products for advisers
  • ERISA bonding requirements
  • Cybersecurity insurance

Presenters

  • Mitch Avnet, founder and Managing Partner, Compliance Risk Concepts, LLC
  • Lilian A. Morvay, JD, Underwriting & Risk Management Consultant––Professional Liability
  • Amir Tadjedin, Partner, Markun Zusman Freniere and Compton, LLP
  • Paul D. Glenn, Special Counsel, Investment Adviser Association, Moderator

Webinar Audio Platform

Audio for this webinar will be broadcast through the internet via your computer speakers. Please visit the IAA's Webinar FAQ page or email iaaevents@investmentadviser.org if you have questions.

Registration

Click the "Register" button on this page.

Registration for the live webinar closes on Wednesday, May 3, at noon ET.

IAA Members and IAA Associate Members: The live webinar and a link to the recording are complimentary. (Registrations made on or before May 3 at noon ET 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

Mitch Avnet is the founder and Managing Partner of Compliance Risk Concepts, LLC. Mr. Avnet is responsible for business development, relationship management and overseeing the execution of all client driven/business focused Compliance and Ethics Risk Management strategic engagements. Download to see image
Lilian A. Morvay, JD has over 25 years of legal, insurance and risk management experience in the professional liability arena, with a specific focus on Investment Adviser and Broker Dealer Errors & Omissions. As an attorney with extensive experience as a litigator, claims director and underwriter, Ms. Morvay has developed a deep understanding of both the insurance and the investment industries, which she has parlayed into the development of IBDC. Download to see image
Amir Tadjedin is a partner in the Portland office of Markun Zusman Freniere and Compton, LLP. His practice focuses on litigating and arbitrating commercial disputes, with an emphasis on securities and investment related matters. Mr. Tadjedin also maintains an active regulatory practice representing firms and representatives in investigations initiated by the SEC, FINRA, and state regulatory agencies. Download to see image
Paul D. Glenn is IAA Special Counsel and started at the IAA in 2006. Paul has worked at the US Securities and Exchange Commission as a trial attorney and special counsel in the Division of Enforcement and the Office of General Counsel, respectively. Mr. Glenn also has experience working for the OCC (OTS), and two financial institutions.

Paid Registration Cancellation or Substitution

For paid registrations: Cancellations and substitutions must be received in writing no later than noon (ET) Wednesday, May 3, 2017. There are no refunds for cancellations after this date. Email your requests to megan.olson@investmentadviser.org.

 

 

Webinar - Hot Topics in CPO and CTA Regulation and Compliance

Tuesday, May 2, 2017
2:00 – 3:15 p.m. (ET)

The panel will discuss key CFTC and NFA regulatory and compliance hot topics for SEC-registered investment advisers also registered, or exempt from registration, as commodity pool operators (CPOs) or commodity trading advisors (CTAs).

Topics Covered

Learn about the latest developments and best practices regarding:

  • CPO and CTA registration requirements and exemptions, including treatment of offshore funds and advisers.
  • Compliance with CFTC and NFA recordkeeping, reporting, disclosure, and marketing requirements.
  • NFA Bylaw 1101 compliance and supervision requirements.
  • Preparing for and managing an NFA exam.

Presenters

  • Patricia L. Cushing, Director, Member Education, National Futures Association
  • Cary J. Meer, Partner, K&L Gates LLP
  • Lawrence B. Patent, Of Counsel, K&L Gates LLP
  • Christopher M. Rohrbacher, Managing Director and Associate General Counsel, Nuveen Investments, Inc.
  • Monique S. Botkin, Acting General Counsel, Investment Adviser Association, Moderator

Webinar Audio Platform

Audio for this webinar will be broadcast through the internet via your computer speakers. Please visit the IAA's Webinar FAQ page or email iaaevents@investmentadviser.org if you have questions.

Registration

Click the "Register" button on this page.

Registration for the live webinar closes on Monday, May 1, at noon ET.

IAA Members and IAA Associate Members: The live webinar and a link to the recording are complimentary. (Registrations made on or before May 1 at noon ET 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

Patricia L. Cushing is a Director of Compliance at National Futures Association (NFA). Ms. Cushing's responsibilities include overseeing staff who conduct financial and compliance examinations, investigations and financial surveillance of brokerage firms in the commodity futures industry. Ms. Cushing manages the design of the department's exam programs and is responsible for the training of the examination staff. She leads the Compliance Department’s Member education efforts, advises Members on compliance issues, and presents at industry conferences. Ms. Cushing has served as a primary liaison between NFA and the CFTC in the development of rules affecting CTAs and CPOs. She is a Certified Public Accountant, Certified Fraud Examiner and Certified Regulatory Compliance Professional, having received this designation through the FINRA Institute at The Wharton School of Business. Download to see image
Cary J. Meer is a partner in K&L Gates’ Washington, D.C. and New York offices and a member of the Investment Management and Hedge Fund practice groups. Ms. Meer has been structuring private funds as limited liability companies, limited partnerships, offshore corporations, common trust funds and business trusts, and preparing disclosure documents and organizational documents for such entities since the mid-1990s. Her clients include hedge fund and private equity fund sponsors, as well as sponsors of funds-of-funds and funds-of-one. Some of these managers are stand-alone entities and some are part of large financial institutions. She also advises investment advisers, private fund managers, and investment companies on compliance issues, including under the Investment Advisers Act of 1940, whether their commodity interest-related trading or advice would require them to register as commodity pool operators or commodity trading advisors and regarding lobbyist registration and related matters. She also advises institutional investors in connection with their investment in third-party private funds. Download to see image
Lawrence B. Patent is of counsel to K&L Gates LLP in Washington, D.C. Mr. Patent joined K&L Gates after serving more than 30 years with the CFTC, where his last position was Deputy Director of a Division. Mr. Patent regularly counsels businesses with respect to commodity interest trading compliance and the legal requirements governing trading in over-the-counter derivatives and exchange-traded futures, including both international and U.S. markets. His clients include, among others, hedge funds, commodity trading advisors and commodity pool operators. Download to see image
Christopher M. Rohrbacher is Managing Director and Associate General Counsel at Nuveen Investments, Inc. He focuses on matters relating to open-end and closed-end investment companies, and is responsible for all matters related to Nuveen’s registration as a commodity pool operator. Prior to joining Nuveen, Mr. Rohrbacher was an associate in the Investment Management Group at Skadden, Arps, Slate, Meagher & Flom LLP. Download to see image
Monique S. Botkin is Acting 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, D.C. While in private practice, Ms. Botkin represented investment advisers, registered investment companies, private funds, and broker-dealers in corporate, securities and investment management matters. Ms. Botkin also served as an attorney in the SEC’s Division of Investment Management disclosure review office from 2013 to 2014. Download to see image

Paid Registration Cancellation or Substitution

For paid registrations: Cancellations and substitutions must be received in writing no later than noon (ET) Monday, May 1, 2017. There are no refunds for cancellations after this date. Email your requests to megan.olson@investmentadviser.org.

 

 

Webinar - The DOL Rule Delay & Review: What Must Investment Advisers Do Now?

Date/Time:
Friday, April 28, 2017
2:00 – 3:00 p.m. (ET)

The panel will discuss the status of the DOL fiduciary rule, including the DOL’s review of the rule, the IAA's comments, potential changes to the rule and exemptions, and the political context. This webinar will also focus on what investment advisers to institutional and individual clients must accomplish by June 9 – the applicability date for the aspects of the Rule relevant to advisers.

Topics Covered

Topics will include:

  • The streamlined BIC
  • The Independent Fiduciary Exemption
  • Use of the “Hire Me” approach
  • How the delay affects these strategies

Presenters

Jenny Eller is Co-Head of Groom Law Group’s Fiduciary practice group. In her practice, Jenny advises financial institutions on the design and delivery of products and services to the retirement plan marketplace, and advises large corporate and public plan sponsors on all aspects of ERISA fiduciary compliance. In her role as practice group Co-Head, Jenny is responsible for ensuring that the strategic direction and new initiatives of the Fiduciary group position the Groom Law Group to serve the needs of its financial institution, corporate and public plan clients. Jenny holds a BA from Avila College, where she graduated magna cum laude, and a JD from Georgetown University Law Center, where she graduated cum laude. Download to see image
David C. Kaleda is a Principal in the Fiduciary Responsibility practice group at Groom Law Group. David has an extensive background in the employee benefits and financial services sector. 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. David served on the DOL's ERISA Advisory Council for a three-year term (2012-2014). Download to see image
Karen Barr (moderator) is President and CEO of the Investment Adviser Association. Before assuming this role in 2014, she served as the IAA’s General Counsel for 17 years, with responsibility for the wide range of legal and regulatory matters affecting the Association and its members. Prior to joining the IAA, Ms. Barr was in private practice at Wilmer, Cutler & Pickering (now WilmerHale), where she represented clients with respect to SEC investigations, securities class action litigation, internal corporate investigations, and securities regulatory matters. Ms. Barr received her B.A. from the University of Pennsylvania and her law degree from the University of Michigan Law School. Download to see image

Webinar Audio Platform

Audio for this webinar will be broadcast through the internet via your computer speakers. Please visit the IAA's Webinar FAQ page or email iaaevents@investmentadviser.org if you have questions.

Registration

Click the "Register" button on this page.

Registration for the live webinar closes on Thursday, April 27, at noon ET.

IAA Members and IAA Associate Members: The live webinar and a link to the recording are complimentary. Registrations made on or before April 27 at noon ET are automatically registered for both the live webinar and the recording.

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

Cancellation:
Cancellations and substitutions must be received in writing no later than noon (ET) Thursday, April 27, 2017. There are no refunds for cancellations after this date. Email your requests to megan.olson@investmentadviser.org.

Questions?

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

 

 

Webinar - Cybersecurity Regulations for Financial Services

Thursday, April 20, 2017
2:00 – 3:15 p.m. (ET)

In recent years, the increasing number and complexity of cyberattacks against the financial services industry has prompted industry regulators to enforce guidelines and requirements around cybersecurity preparedness.

Topics Covered

The panel will discuss the latest in industry trends and regulatory recommendations:

  • Threats to the Industry: Industry trends and the need for industry preparedness
  • Current Cyber Regulations at Federal and State Levels: Beyond federal regulators (such as the SEC and FINRA), many states have enforced privacy and/or security statutes and regulations. Today, firms must familiarize themselves with both federal and state cybersecurity requirements.
  • DFS Cybersecurity Rule 23 NYCRR 500: Will this new regulation become a standard of care for other regulations and agencies? It seems a new wave of compliance requirements may be on its way.

Presenters

  • Kenneth N. Rashbaum, Partner, Barton LLP
  • Eldon Sprickerhoff, Founder and Chief Security Strategist, eSentire

Webinar Audio Platform

Audio for this webinar will be broadcast through the internet via your computer speakers. Please visit the IAA's Webinar FAQ page or email iaaevents@investmentadviser.org if you have questions.

Registration

Click the "Register" button on this page.

Registration for the live webinar closes on Wednesday, April 19, at noon ET.

IAA Members and IAA Associate Members: The live webinar and a link to the recording are complimentary. Registrations made on or before April 19 at noon ET 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

Kenneth N. Rashbaum is a partner at Barton LLP. His practiceadvises multinational corporations and healthcare organizations in the areas of privacy, cybersecurity and e-discovery. Ken has vast experience in preparation of protocols for compliance with data protection and privacy laws; conduct of information security and data breach response assessments, investigations and remediation initiatives; and policies for social media legal and regulatory compliance. Prior to joining Barton, Ken was a senior litigation partner in the New York office of Sedgwick LLP (formerly Sedgwick, Detert, Moran & Arnold) where he was the Co-Chair of the E-Discovery, Compliance and Data Management Practice Group. Ken is an Adjunct Professor of Law at Fordham University School of Law. Download to see image
Eldon Sprickerhoff is the founderand Chief Security Strategistof eSentire. He created the company in response to the incipient yet rapidly growing demand for a more proactive approach to preventing and investigating information security breaches. Now with over twenty years of tactical experience, he is acknowledged as a subject matter expert in information security analysis. Eldon holds a Bachelor of Mathematics, Computer Science degree from the University of Waterloo.

Paid Registration Cancellation or Substitution

For paid registrations: Cancellations and substitutions must be received in writing no later than noon (ET) Wednesday, April 19, 2017. There are no refunds for cancellations after this date. Email your requests to megan.olson@investmentadviser.org.

Sponsor


 

eSentire® is the leader in Active Threat Protection solutions and services, the most comprehensive way to defend enterprises from advanced and never-before-seen cyber threats. eSentire's flagship offering, Network Interceptor, challenges legacy security approaches, combining behavior-based analytics, immediate mitigation and actionable intelligence on a 24x7x365 basis. The company's dedicated team of security experts continuously monitors customer networks to detect and block cyber attacks in real-time. In 2015 eSentire was included in the list of "Cool Vendors" in the Cool Vendors in Cloud Security Services, 2015 report by Gartner, Inc. For more information visit www.esentire.com and follow @esentire.

 

 

Webinar - Understanding the New SEC Guidance on the Custody Rule: SLOAs, First-Person Transfers, and Inadvertent Custody

Thursday, March 30, 2017
2:00 – 3:15 p.m. (ET)

The SEC staff recently issued three pieces of guidance on the often vexing Custody Rule:

  • A no-action letter specifying conditions under which surprise exams are unnecessary when SLOAs are used for transfers to third parties;
  • Updated Custody Rule FAQ II.4 where a client grants an adviser the authority to move money between the client’s own accounts (first-person transfers); and
  • An SEC Division of Investment Management Guidance Update addressing provisions in a separate custodial agreement entered into between an advisory client and a qualified custodian that inadvertently impute advisers with custody they otherwise did not intend to have.

Topics Covered

In this webinar, you will learn:

  • Conditions when using standing letters of authorization (SLOAs) that make surprise exams unnecessary.
  • What information is expected to be included in a client’s authorization for first-person transfers.
  • The thinking behind the Guidance Update on inadvertent custody, including language regarding delivery versus payment.
  • Timing expectations.
  • Steps to start taking now.

Presenters

  • Aaron T. Gilbride, Senior Counsel, Chief Counsel’s Office, Division of Investment Management, Securities and Exchange Commission
  • Christopher Gilkerson, Senior Vice President and General Counsel, Charles Schwab & Co., Inc.
  • Melissa R. Harke, Senior Special Counsel, Division of Investment Management, Securities and Exchange Commission
  • Laura L. Grossman, Assistant General Counsel, Investment Adviser Association, Moderator

Webinar Audio Platform

Audio for this webinar will only be broadcast through the internet via your computer speakers. Please visit the IAA's Webinar FAQ page or email iaaevents@investmentadviser.org if you have questions.

Registration

Click the "Register" button on this page.

Registration for the live webinar has closed. You may register still register for the recording.

IAA Members and IAA Associate Members: The live webinar and recorded webinar are complimentary. (Registrations made on or before March 29 at noon ET 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

Aaron T. Gilbride is a Senior Counsel in the Chief Counsel’s Office within the Division of Investment Management at the Securities and Exchange Commission. The Chief Counsel’s Office is responsible for investment adviser and investment company oversight, including issuing no-action letters, orders for exemptive relief, and other guidance. Prior to joining the Commission, he worked as an associate in the investment management practice at Stradley Ronon Stevens & Young in Washington, D.C.
Christopher Gilkerson is Senior Vice President and General Counsel at Charles Schwab & Co. in San Francisco. He is a 17 year veteran at Schwab and heads the Institutional and Retail Legal Group responsible for Advisor Services, retail investment advisory programs, branches and call centers, brokerage operations, international, schwab.com and e-business, and retirement services. Prior to Schwab Christopher was Assistant General Counsel for Market Regulation at the U.S. Securities and Exchange Commission in Washington, D.C., and an adjunct faculty member at American University, Washington College of Law. He has written and spoken on a wide range of securities industry topics. Download to see image
Melissa R. Harke is Senior Special Counsel in the SEC’s Investment Adviser Regulation Office in the Division of Investment Management. Her office is responsible for investment adviser oversight, including rulemaking, interpretive guidance, and general policy-related issues. Since joining the SEC in 2008 she has been heavily involved with the adoption and implementation of: amendments to the Advisers Act custody rule; amendments to investment adviser registration and reporting rules, including Form ADV; and the Advisers Act pay to play rule. Prior to joining the SEC, Melissa was an Associate in the Investment Management Group of the Washington, D.C. office of K&L Gates. Previously she was an Associate with Richards, Layton & Finger in the state of Delaware, and she was a law clerk in the Office of Hearing Officers at the NASD (now known as FINRA). Download to see image
Laura L. Grossman is Assistant General Counsel of the Investment Adviser Association. Prior to joining the IAA, Ms. Grossman 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 arising under the Investment Advisers Act, the Investment Company Act and other federal securities laws, the Commodity Exchange Act and associated regulations, and a wide range of compliance issues. Download to see image

Paid Registration Cancellation or Substitution

For paid registrations, cancellations and substitutions must be received in writing no later than noon (ET) Wednesday, March 29, 2017. There are no refunds for cancellations received after this date. Email your requests to megan.olson@investmentadviser.org.

 

2017 Webinar - How U.S. Asset Managers Can Access China’s Asset Management Industry

 

Co-hosted by:

Wednesday, March 29, 2017
8:30 - 10:00 a.m. (ET)

The IAA and K&L Gates are co-hosting a webinar that will help to serve as a guide for U.S. asset managers who operate local funds in China or are considering doing so. The webinar will provide an overview of China’s asset management industry and ways for U.S. asset managers to gain access.

Topics Covered

  • An examination of the qualification requirements, restrictions, and operational requirements of the new rule
  • A description of the registration process
  • General advice on how to set up wholly foreign-owned enterprise and operate local funds in China

Speakers

  • Henry Wang, Partner, K&L Gates
  • Joshua J. Yang, Partner, K&L Gates
  • Sanjay Lamba, Assistant General Counsel, Investment Adviser Association

Recording

To request a complimentary recording link, go to this page.

Questions

For more information, contact Janina Quilacio at janina.quilacio@klgates.com or the IAA at iaaevents@investmentadviser.org.



2017 Webinar - Briefing Webinar: The Regulatory Landscape for Advisers: The Only Certainty is Change

 

Webinar – The Regulatory Landscape for Advisers: The Only Certainty is Change

Thursday, February 9, 2017
2:00 – 3:00 p.m. (ET)

2017 will be a year of major transitions in Washington. In this complimentary semi-annual member briefing, the IAA Legal Team will present how these changes could impact investment advisers and their businesses, from the potential for financial services legislation to the election’s potential impact on current and proposed SEC, CFTC, Department of Labor, and Treasury Department regulations.

Questions may be submitted in advance to iaaevents@investmentadviser.org. A more detailed agenda will be circulated to registrants prior to the webinar.

Recording

The recording is available for listening here.

Questions?

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.