Chicago, Illinois
THURSDAY, NOVEMBER 8, 2012
(All times Central Standard Time)
8:30 am – 8:40 am
Welcome
8:40 am – 9:15 am
Overview of the Investment Management Industry, Recent Developments
and How Social Media is Changing the Playing Field
9:15 am –10:15 am
New CFTC Regulations
10:15 am – 11:15 am New Regulations for Hedge Fund Advisers
Presented by Donald S. Weiss and Carolyn A. Jayne
• Form PF
• JOBS Act
Mr. Weiss focuses on alternative investments serving hedge fund
managers, commodity pool operators, private equity advisers and
institutional investors. He concentrates his practice on the business,
corporate and regulatory needs of the investment management
community and represents a variety of professional participants in the
financial markets including investment advisers, commodity trading
advisors, broker-dealers, introducing brokers, futures commission
merchants and proprietary trading firms. Mr. Weiss also represents
regulated entities and other market participants in disciplinary and
enforcement matters before the Securities and Exchange Commission,
Commodity Futures Trading Commission, Financial Industry Regulatory
Authority, National Futures Association, exchanges and state agencies.
You may reach him at 312.807.4303 or donald.weiss@klgates.com.
Ms. Jayne advises investment advisers, broker-dealers, commodity
pool operators and commodity trading advisors on regulatory and
compliance issues in connection with the Securities Act of 1933, the
Investment Advisers Act of 1940, the Commodity Exchange Act of 1936,
various state securities laws, and regulations of the Financial Industry
Regulatory Authority, the Commodity Futures Trading Commission and
the National Futures Association. In particular, she routinely handles all
aspects of forming public and private investment funds and registering
new investment advisers, including establishing compliance policies
and procedures. You may reach her at 312.807.4299 or carolyn.jayne@
klgates.com.
11:15 am – 11:30 am
Break
11:30 am – 12:15 pm
Issues Related to Derivatives Investing
12:15 pm – 1:30 pm Lunch
1
1
Chicago, Illinois
THURSDAY, NOVEMBER 8, 2012
(All times Central Standard Time)
1:30 pm – 2:30 pm
Recent Developments in the Investment Company World
Presented by Paulita Pike and Paul Dykstra
• Regulatory Developments
• SEC Focus on Fund Intermediary Relationships
• SEC Focus on the 15(c) Process/Recent 36(b) Developments
• Changes in CFTC Rule 4.5
Ms. Pike represents mutual funds and their boards as well as
investment advisers and fund service providers throughout the
country. Ms. Pike advises her clients on a broad range of issues
including governance structures and practices, compliance issues,
D&O/E&O matters, communications with the press, self-evaluations
and industry “best practices,” fund service provider contracts and
filings with the Securities and Exchange Commission, fund mergers
and “manager-of-managers” arrangements, regulatory investigations
and inquiries, and matters arising from the Investment Company Act
of 1940 and the Investment Advisers Act of 1940. She is an adjunct
professor at Northwestern University School of Law where she teaches
a course, along with Paul Dykstra, on mutual fund regulation. Ms. Pike
and Paul Dykstra were named Independent Counsel of the Year by
Fund Directions in 2008. You may reach her at 312.781.6027 or
paulita.pike@klgates.com.
Mr. Dykstra represents mutual funds or their boards throughout the
country. He also counsels independent fund directors involved in
corporate reorganizations and internal or SEC investigations. He is
an adjunct professor at Northwestern University School of Law
where he teaches a course, along with Paulita Pike, on mutual fund
regulation. Mr. Dykstra and Paulita Pike were named Independent
Counsel of the Year by Fund Directions in 2008. Mr. Dykstra is a
co-author of the Fund Director’s Guidebook which is published by
the American Bar Association. You may reach him at 312.781.6029
or paul.dykstra@klgates.com.
2:30 pm – 3:15 pm Closed-End Fund Update: 2012 Legal and Market Developments
Presented by David Glatz, Eric Lehmann and Rita Rubin
Mr.Glatz concentrates his practice in corporate and investment
management matters. As counsel to registered investment companies
on securities law and regulatory matters, he advises clients on issues
arising under the federal securities laws, including the Securities Act
of 1933, the Securities Exchange Act of 1934 and the Investment
Company Act of 1940, stock exchange rules and other regulatory
issues. Mr. Glatz also has extensive experience working with acquirers
and sellers in negotiated merger, asset and stock transactions, including
public company acquisitions, private deals and divisional carve-outs.
You may reach him at 312.807.4295 or david.glatz@klgates.com.
2
2
Chicago, Illinois
THURSDAY, NOVEMBER 8, 2012
(All times Central Standard Time)
Mr. Lehmann is an associate in the Chicago office. His practice is
focused on investment management-related matters. You may reach
him at 312.807.4212 or eric.lehmann@klgates.com.
Ms. Rubin focuses her practice in the investment management
area, specializing in the representation of open-end and closed-end
investment companies, investment company boards of directors,
investment advisers and service providers in governance, regulatory
and transactional matters. She has extensive experience in advising
closed-end investment companies on issues relating to activist
shareholders, proxy solicitations, tender offers, rights offerings, stock
splits, stock exchange requirements and other regulatory matters. Ms.
Rubin has worked with investment companies and their advisers on a
range of matters including the formation, maintenance, reorganization
and termination of open-end and closed-end investment companies,
requests for no-action relief, exemptive applications and regulatory
inspections and examinations. You may reach her at 312.807.4417
or rita.rubin@klgates.com
3:15 pm – 3:30 pm Break
3:30 pm – 4:00 pm
The Future of Money Market Funds
4:00 pm – 4:30 pm Latest Developments on SEC Examinations and Enforcement
Presented by Alan Goldberg
Mr. Goldberg’s practice focuses on representing registered investment
companies and their boards, investment advisers and sponsors
to unregistered investment pools. Mr. Goldberg has experience
handling all aspects of creating registered investment companies,
and registering new investment advisers, including the establishment
of compliance policies and procedures. He regularly prepares
regulatory filings and applications on behalf of investment companies
and investment advisers and has performed numerous comprehensive
compliance reviews of investment advisers and investment companies.
He routinely handles all aspects of investment adviser and fund merger
transactions and all aspects of forming unregistered investment funds,
including those that rely upon Section 3(c)(11) of the Investment
Company Act. Mr. Goldberg is a frequent speaker on a variety of
investment advisory, investment company and compliance topics.
You may reach him at 312.807.4227 or alan.goldberg@klgates.com.
4:30 pm – 5:30 pm Additional Hot Topics/Regulatory Developments
3
3