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Materials from K&L Gates 2016 Investment Management Conferences

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Date: 13 December 2016

K&L Gates was pleased to present our annual Investment Management conferences for clients and friends of the firm.

This year our conference schedule was:

  • November 1, 2016 - Boston
  • November 15 and 16, 2016 - Washington, D.C. (video conferences to our Newark, Pittsburgh, and Dallas offices)
    • Click here to view the Washington, D.C. program agenda
  • December 1, 2016 - San Francisco
  • December 8, 2016 - New York
  • December 12, 2016 - Chicago

These conferences were held at a number of our offices and videoconferenced to others. Our lawyers from our Investment Management practice discussed a range of topics and practical issues. Each program focused on current issues and regulatory developments confronting the investment management industry.

Boston Investment Management Conference
November 1, 2016
Conference Presentations

  1. Financial Industry Developments
  2. SEC Asset Management Unit, SEC Focus Points and Developments in Enforcement
  3. Registered Funds and Regulatory Developments
  4. European Investment Management Issues
  5. ERISA Developments
  6. Registered Fund Boards of Directors and Fund Governance Issues
  7. Broker-Dealer Regulatory Update
  8. CFTC and Derivative Developments
  9. Alternative Products/Registered Funds with Alternative Strategies
  10. Special Issues for Closed-End Funds
  11. Tax Developments

Supplemental Materials Index

  1. Fund Disclosure Reflecting Risks Related to Current Market Conditions, IM Guidance Update, March 2016
  2. Form N-PORT Adopting Release
  3. Final Liquidity Rule
  4. The Department of Labor's Conflict of Interest Rule and Related Materials
  5. K&L Gates Alert: SEC Issues Investment Company Reporting Modernization Rules by Yoon Y. Choo, Lucie G. Enns, Alyssa B. King, 3 November 2016 
  6. Wake-Up Call for Unregistered Solicitors and the Managers That Hire Them, The Investment Lawyer, June 2013

Washington, D.C. Investment Management Conference
November 15 and 16, 2016
Conference Presentations

  1. Overview of the Investment Company Complex
  2. Organizing an Investment Company
  3. Mutual Fund Advertising and Social Media
  4. Lunch and Policy Group Presentation
  5. Mutual Fund Valuation Procedures
  6. Investment Objectives and Policies
  7. Codes of Ethics
  8. Transactions with Affiliates
  9. Duties of Directors and Trustees
  10. Update on 36(b) Litigation
  11. SEC Final Rule on Liquidity Risk Management Programs
  12. Modernized Reporting for Registered Funds
  13. SEC Derivatives Rule
  14. Hot Topics Panel on Recent Developments
  15. Distribution of Mutual Fund Shares
  16. Compliance and Examinations
  17. Portfolio Brokerage Practices
  18. Exchange Traded Funds (ETFs)
  19. Federal Tax Aspects Affecting Mutual Fund Operations
  20. ERISA

Supplemental Materials Index

  1. Contractual Relationships
  2. Overview of Federal and State Regulation of Investment Companies
  3. The Offering Documents
  4. The Use of Social Media by Investment Companies, Investment Advisers, and Broker-Dealers
  5. Advertising The Mutual Fund
  6. Mutual Fund Valuation Procedures
  7. Managing a Fund's Portfolio
  8. Selling the Fund's Share
  9. Compliance and Examinations
  10. Federal Tax Aspects
  11. Dividends and Other Distributions

San Francisco Investment Management Conference
December 1, 2016
Conference Presentations

  1. Session I: SEC Examinations Priorities and Enforcement Trends
  2. Session II: ERISA Developments: DOL Conflict of Interest Regulation
  3. Session III: Entrepreneurial Trends in the Financial Industry - FinTech
  4. Session IV: Trends in Private Fund Terms

New York Investment Management Conference
December 8, 2016
Conference Presentations

  1. Session I: Recent Developments for the Investment Management Industry
  2. Session II: Private Funds
  3. Session III: Registered Funds
  4. Session IV: SEC and NFA Enforcement, OCIE and FINRA

Chicago Investment Management Conference
January 26, 2017
Conference Presentations

  1. Session I: Recent Developments in the Investment Management Industry
  2. Session II: SEC, CFTC, NFA and FINRA – Examinations and Enforcement
  3. Session III: Private Funds/International Developments
  4. Session IV: Registered Funds

This publication/newsletter is for informational purposes and does not contain or convey legal advice. The information herein should not be used or relied upon in regard to any particular facts or circumstances without first consulting a lawyer. Any views expressed herein are those of the author(s) and not necessarily those of the law firm's clients.

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