Materials from the 2018 Investment Management Conferences

During the fall of 2018, K&L Gates hosted our annual Investment Management conferences for clients and friends of the firm.

These conferences were held at a number of our offices and video-conferenced 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 including:

• Opportunity Zones
• Enforcement
• Registered Funds
• Cryptocurrencies
   

Conference Materials

San Francisco Investment Management Conference
October 17, 2018 

• San Francisco Program Agenda
• Session I: Enforcement Priorities Presentation
• Session II: Development in Private Funds and Separate Accounts
• Session III: Cryptocurrency-Focused Private Funds Presentation
• Session IV: Updates/Hot Topics Presentation

New York Investment Management Conference
October 30, 2018

• New York Program Agenda
• Session I: Regulatory & Industry Initiatives and Trends 
• Session II: Private Fund Opportunities: Opportunity Zone Funds, Sustainability & Impact Investment Management
• Session III: SEC Regulation & Enforcement in the Trump Era
• Session IV: Cryptocurrencies & ICOs in Investment Management: Trading & Compliance Concerns
• Session V: ETF & Registered Fund Developments

Washington, D.C. Investment Management Conference
November 7-8, 2018

• Washington, D.C. Program Agenda
• Session I: Overview of the Investment Company Complex
• Session IIa: Organizing a Mutual Fund Outline Outline
• Session IIb: The Offering Documents Outline
• Session IIc: Federal Tax Aspects Outline
• Session IId: Organizing a Fund
• Session IIIa: Compliance Programs
• Session IIIb: Compliance Programs Outline
• Session IV: Mutual Fund Distribution and Advertising
• Session Va: Managing a Fund Portfolio Outline
• Session Vb: Transactions with Affiliates
• Session VI: Portfolio Brokerage Practices
• Session VIIa: MF Valuation Procedures Outline
• Session VIIb: Mutual Fund Valuation
• Session VIII: Fund Boards and Committees
• Session XI: ETFs
• Session XII: Cryptocurrencies and Related Investment Products
• Session XIV: Private Funds and Adviser Regulation
• Session XV: Examination and Enforcement Priorities

Chicago Investment Management Conference
November 13, 2018

• Chicago Program Agenda
• Session I - Current Topics in Investment Management Litigation 
• Session II - Private Fund Opportunities/Opportunity Zone Funds 
• Session III - Hot Topics in Securities and Futures Examinations and Enforcement and CPO and CTA Update 
• Session IV - ETF and Registered Fund Developments 
• Session V - Regulation of Cryptocurrencies and ICOs 
• Session VI - Crypto, FinTech and Blockchain 

Boston Investment Management Conference
November 28, 2018

• Boston Program Agenda
• Session I: Industry Regulatory Developments
• Session II: Private Fund and Institutional Investor Developments
• Session III: Closed End Funds, Interval Funds, Alternative Strategy Registered Funds, and Business Development Companies
• Lunch Presentation: Outlook for the Global Asset Management Industry
• Session IV: ERISA Developments
• Session V: Derivatives Updates
• Session VI: Distribution Developments
• Session VII: Global Regulatory Update