Chicago, Illinois
THURSDAY, NOVEMBER 21, 2013
(All times Central Standard Time)
8:30 am – 8:45 am
Welcome and Overview of the Program
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.
8:45 am – 9:45 am
Recent Developments in the Investment Company World
Presented by Paul Dykstra, Paulita Pike and Rita Rubin
• Morgan Keegan
• Money Market Fund Proposals
• Focus on Intermediary Relationships
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 and 2013. 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.
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Chicago, Illinois
THURSDAY, NOVEMBER 21, 2013
(All times Central Standard Time)
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 and 2013. You may reach her at 312.781.6027
or paulita.pike@klgates.com.
Ms. Rubin concentrates her practice in the investment management
area, focusing on 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
9:45 am –10:45 am Closed-End Fund Update
Presented by David Glatz and Matthew F. Cohen
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.
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Chicago, Illinois
THURSDAY, NOVEMBER 21, 2013
(All times Central Standard Time)
Mr. Cohen is an associate in the Chicago office. He focuses his
practice on investment management matters. You may reach him
at 312.807.4360 or matt.cohen@klgates.com.
10:45 am – 11:00 am
Break
11:00 am – 11:45 am
Developments in Investment Management Litigation
Presented by Stephen J. O’Neil, John W. Rotunno, Kenneth E. Rechtoris,
Peter G. Rush and Paul J. Walsen
Mr. Rotunno, a partner in the Chicago office, concentrates his practice
on complex and multi-district litigation, including securities and
consumer class actions, investment company litigation, shareholder
derivative litigation, merger and acquisition litigation, and fiduciary
litigation. He also is experienced in distributorship litigation and
commercial tort and contract cases, as well as accountant’s liability
and RICO actions. He has represented clients in valuation
proceedings, including the valuation of a substantial interest in a
founding NFL franchise, trade secret misappropriation cases, patent
litigation, trust litigation, partnership disputes and estate litigation,
and played a primary role in an internal investigation into the
lending practices of a major national bank. You may reach him at
312.807.4213 or john.rotunno@klgates.com.
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Chicago, Illinois
THURSDAY, NOVEMBER 21, 2013
(All times Central Standard Time)
Mr. O’Neil is a partner in the Chicago office and an experienced trial
lawyer with extensive jury and bench trial experience in federal and
state courts, as well as significant arbitration trial experience in dozens
of high-stakes arbitrations. He has tried cases arising out of contract
and commercial disputes, corporate acquisitions and divestitures, false
advertising, trade secret and unfair competition claims, and professional
negligence. He has also served as lead counsel in major securities
litigation and class action matters, including multi-district litigation. In
addition to his arbitration experience as an advocate, Mr. O’Neil also
frequently serves as a neutral arbitrator. He has represented small
businesses as well as the nation’s most prominent Fortune 500
and Fortune 100 companies. Mr. O’Neil’s commercial litigation and
arbitration practice often involves the representation of major
manufacturers, especially in the consumer products industry, where
he has prosecuted and defended claims involving some of the world’s
best-known consumer products. He recently represented one of the
principal competitors in the hot dog industry in a highly publicized
federal court false advertising trial. In the area of securities and
fiduciary duty litigation, Mr. O’Neil has represented issuers, investment
advisers, collateral managers, officers, directors and trustees. He has
litigated securities claims arising out of public filings, M&A transactions,
collateralized debt obligations and investment advisory fees. He may
be reached at 312.807.4217 or stephen.oneil@klgates.com.
Mr. Rechtoris is a partner and trial lawyer in the litigation practice of
the Chicago office. He has tried numerous jury and bench trials to
conclusion in state and federal courts throughout the country. He has
extensive experience in all aspects of commercial litigation, including
complex contractual disputes, securities fraud, securities and consumer
credit class actions, shareholder derivative actions, multi-district
litigation, real estate disputes, partnership disputes, commercial tort
cases, insurance coverage disputes and restrictive covenant litigation.
Mr. Rechtoris’ litigation experience includes the representation of mutual
funds and fund trustees, numerous Fortune 500 companies in securities,
professional liability and commercial disputes, large insurance brokers,
and Cook County in employment and governmental litigation. He also
regularly handles appellate matters. He may be reached at
312.807.4210 or kenneth.rechtoris@klgates.com.
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Chicago, Illinois
THURSDAY, NOVEMBER 21, 2013
(All times Central Standard Time)
Peter G. Rush is a partner in the Chicago office and a member of the
Commercial Litigation Group. He has been involved in many aspects
of commercial litigation in state and federal courts, both at the trial
and appellate levels, and before arbitral forums. Mr. Rush has extensive
experience in securities and Investment Company Act litigation
including multi-district litigation, class actions and derivative suits. He
has represented the former Chairman of the Securities and Exchange
Commission, conducted internal investigations of publicly-traded
companies, and presented more than 20 officers, directors, trustees
and outside counsel in sworn testimony and informal interview before
the Securities Exchange Commission. He has represented Fortune
500 companies, banking institutions, finance companies, mutual fund
complexes, law firms, as well as officers, directors, and trustees of
mutual fund boards on a variety of securities-related matters. His
representations have included class actions and putative class actions
in Colorado, Delaware, the District of Columbia, Indiana, Illinois,
Maryland, New York, and Texas. He may be reached at 312.807.4352
or peter.rush@klgates.com.
Mr. Walsen is a partner in the Chicago office who focuses his practice
on a range of complex and multi-district litigation, including securities
and shareholder derivative litigation, contract litigation, business torts,
class action defense, probate and trust litigation, real estate litigation
and construction litigation. He has represented clients in a broad variety
of industries, including investment management, finance, real estate,
manufacturing, insurance and professional services. He has extensive
trial experience, and has obtained and defended against emergency
temporary, preliminary and permanent injunctive relief in cases
involving corporate acquisitions, real estate transactions, intellectual
property and other types of claims. He may be reached at 312.807.4388
or paul.walsen@klgates.com.
11:45 am –12:45 pm Lunch and Networking
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Chicago, Illinois
THURSDAY, NOVEMBER 21, 2013
(All times Central Standard Time)
12:45 pm– 1:30 pm
Developments in the Hedge Fund Arena
Presented by Donald S. Weiss and Carolyn A. Jayne
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.
1:30 pm– 2:15 pm
Developments in CFTC/NFA Regulations
Presented by Donald S. Weiss, Carolyn A. Jayne and Mark R. Greer
Mr. Greer is an associate in the Chicago office. He concentrates his
practice on representing registered investment companies, registered
investment advisers and mutual funds boards of directors. He assists
these clients to comply with the Investment Company Act of 1940, the
Investment Advisers Act of 1940 and related rules and regulations.
You may reach him at 312.807.4393 or mark.greer@klgates.com.
2:15 pm – 2:30 pm
Break
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Chicago, Illinois
THURSDAY, NOVEMBER 21, 2013
(All times Central Standard Time)
2:30 pm – 3:15 pm
Investment Adviser Update
Presented by Alan Goldberg, Mark R. Greer and Eric Lehmann
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.
3:15 pm – 4:00 pm
Recent Trends in SEC Examinations
Presented by Alan Goldberg and Corey Zarse
Mr. Zarse is an associate in the Chicago office. He counsels and
represents clients on corporate and securities matters, with an
emphasis on investment company and investment adviser matters.
While earning his J.D./M.B.A., he helped found the Entrepreneurship
Law Clinic and the three-year J.D./M.B.A program at Indiana University
Bloomington. He also previously served as a PILI fellow at Indiana
Legal Services. Mr. Zarse is a Certified Public Accountant. You may
reach him at 312.807.4354 or corey.zarse@klgates.com.
4:00 pm – 4:30 pm Hot Topics Panel
Presented by Alan Goldberg and Corey Zarse
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