Chicago, Illinois
TUESDAY, OCTOBER 7, 2014
(All times Central Daylight 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 – 9:30 am
Money Market Fund Reform
Presented by: Rita Rubin and Matthew F. Cohen
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.
Mr. Cohen advises commodity pools, mutual funds, closed-end funds
and exchange-traded funds (ETFs) and their independent board
members on transactional matters and regulatory issues arising under
the Investment Company Act of 1940, the Investment Advisers Act
of 1940, the Securities Act of 1933, the Securities Exchange Act of
1934, the Commodity Exchange Act of 1936, stock exchange rules
and related regulations. You may reach him at 312.807.4360 or
matt.cohen@klgates.com.
9:30 am – 9:45 am
Break
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Chicago, Illinois
TUESDAY, OCTOBER 7, 2014
(All times Central Daylight Time)
9:45 am –10:45 am Developments for Mutual Funds
Presented by: Paul Dykstra, Paulita Pike and Matthew D. Maxwell
• Recent SEC Guidance
•Cyber-security
• Focus of Current SEC Sweep Exams
• Alternative Investment Products
• Financial Intermediaries
• Securities Lending
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.
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 “managerof-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.
Mr. Maxwell focuses his practice on registered investment companies
and their independent board members. He has experience representing
open- and closed-end funds, exchange-traded funds (ETFs), unit
investment trusts (UITs) and variable products on matters arising
under U.S. federal securities laws, particularly the Investment
Company Act of 1940. You may reach him at 312.807.4418 or
matt.maxwell@klgates.com.
10:45 am – 11:00 am
Break
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Chicago, Illinois
TUESDAY, OCTOBER 7, 2014
(All times Central Daylight Time)
11:00 am – Noon
Closed-End Fund Developments
Presented by: David Glatz and Eric Lehmann
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.
Mr. Lehmann focuses his practice on representing registered
investment companies, including mutual funds, closed-end funds
and exchange-traded funds, their independent board members,
and registered investment advisers. Mr. Lehmann advises his clients
on a broad range of regulatory, compliance and transactional matters
that arise under U.S. federal securities laws, particularly the Investment
Company Act of 1940, the Investment Advisers Act of 1940, the
Securities Act of 1933, the Securities Exchange Act of 1934, stock
exchange rules and related regulations. You may reach him at
312.807.4212 or eric.lehmann@klgates.com.
Noon – 1:00 pm
Lunch
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Chicago, Illinois
TUESDAY, OCTOBER 7, 2014
(All times Central Daylight Time)
1
:00 pm – 2:15 pm
Barbarians at the Gartenberg Gates: A Report from the Front
Presented by: John W. Rotunno, Stephen J. O’Neil, Paul J. Walsen
and Molly K. McGinley
Mr. Rotunno is one of four global Practice Area Leaders for the firm’s
Litigation and Dispute Resolution Practice Area. Throughout his 38
years in practice in state and federal courts across the country, Mr.
Rotunno has concentrated in complex litigation, focusing on securities,
investment company and derivative actions. He is a member of the
firm’s Securities and Transactional Litigation Practice Group and an
associate member of the firm’s Investment Management Practice Group.
Mr. Rotunno has led the defense of lawsuits brought against investment
advisers, investment companies and independent directors and trustees
in securities fraud, breach of fiduciary duty and Section 36(b) litigation.
He has addressed professional organizations, served as a panelist and
as a featured speaker at investment management industry conferences,
and participated in forums on a range of subjects, including federal
securities litigation, litigation under the Investment Company Act of 1940,
the responsibilities of independent trustees and directors of investment
companies, the attorney-client privilege, and accountant’s liability. You
may reach him at 312.807.4213 or john.rotunno@klgates.com.
Mr. O’Neil is a partner in the Chicago office, a co-practice group
coordinator of the firm’s Commercial Disputes Practice Group, and a
member of the Securities and Transactional Litigation Practice Group.
Mr. O’Neil is 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
also has served as lead or co-lead counsel in major securities and
investment company litigation. In the area of securities and fiduciary
duty litigation, Mr. O’Neil has represented investment advisers, issuers,
collateral managers, officers, directors and trustees. He has litigated
securities claims arising out of investment advisory fees, public
securities filings and M&A transactions. You may reach him at
312.807.4217 or stephen.oneil@klgates.com.
Mr. Walsen is a partner in the Chicago office and a member of the firm’s
Securities and Transactional Litigation Practice Group. Mr. Walsen
focuses his practice on complex and multi-district litigation, including
securities and shareholder derivative litigation and class action defense.
Mr. Walsen’s experience in investment company litigation includes the
representation of investment advisers, investment companies, and
independent directors. In addition, he has advised investment advisers
and independent mutual fund directors in investigations conducted by
the SEC. Mr. Walsen, who has an M.B.A. in addition to a law degree,
has taken the lead in defending profitability calculations of investment
advisers in Section 36(b) litigation, including working closely with
profitability and cost accounting experts. You may reach him at
312.807-4388 or paul.walsen@klgates.com.
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Chicago, Illinois
TUESDAY, OCTOBER 7, 2014
(All times Central Daylight Time)
Ms. McGinley is a partner in the Chicago office who concentrates her
practice on complex commercial disputes, including securities, class
action, and investment management litigation. She is a member of
the firm’s Securities and Transactional Litigation Practice Group. Her
investment management litigation experience includes the defense of
investment advisers in Section 36(b) litigation and the representation
of independent trustees in derivative and class action lawsuits
purporting to assert breach of fiduciary duty claims. You may reach
her at 312.807.4419 or molly.mcginley@klgates.com.
2:15 pm – 3
:15 pm
Commodity/Hedge Fund Developments
Presented by: Carolyn A. Jayne and Ruth E. Delaney
Ms. Jayne advises a variety of participants in the financial markets,
including investment advisers, investment companies, broker-dealers,
commodity pool operators and commodity trading advisors. She advises
her clients on a broad range of regulatory and compliance issues in
connection with the Investment Advisers Act of 1940, the Investment
Company Act of 1940, the Securities Act of 1933, the Commodity
Exchange Act, various state securities laws, and regulations of the
Financial Industry Regulatory Authority, the Commodity Futures
Trading Commission and the National Futures Association. She
routinely handles all aspects of forming unregistered investment
funds and registering new investment advisers, including establishing
compliance policies and procedures. She also has experience
performing compliance reviews of investment advisers. You may
reach her at 312.807.4299 or carolyn.jayne@klgates.com.
Ms. Delaney is an associate in the firm’s Los Angeles office. She
focuses her practice on advising domestic and offshore private fund
advisers on organizational, regulatory, and compliance issues. She
also assists clients with structuring private funds to comply with ERISA
or to avoid “plan asset” status and also assists institutional clients with
collective investment fund matters. You may reach her at 310.552.5068
or ruth.delaney@klgates.com.
3:15 pm – 3:30 pm
Break
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Chicago, Illinois
TUESDAY, OCTOBER 7, 2014
(All times Central Daylight Time)
3:30 pm – 4:00 pm
Investment Adviser Issues and Update
Presented by: Alan Goldberg and Mark R. Greer
Mr. Greer concentrates his practice on representing registered
investment companies, their independent board members, and
registered investment advisers on a broad range of regulatory and
compliance matters that arise under U.S. federal securities laws,
particularly the Investment Company Act of 1940, the Investment
Advisers Act of 1940, the Securities Act of 1933, the Commodity
Exchange Act, and their related rules and regulations. You may
reach him at 312.807.4393 or mark.greer@klgates.com.
4:00 pm – 4:30 pm
Hot Topics/SEC Exam Trends
Presented by: Alan Goldberg and Anita Gut
Ms. Gut is an associate in the firm’s Chicago office. She concentrates
her practice on representing registered investment companies and
mutual funds boards of directors. She 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 her at
312.807.4209 or anita.gut@klgates.com.
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