MATERIALS INDEX
SPEAKER BIOGRAPHIES
Clifford J. Alexander, Partner, K&L Gates
Danny Brower, Partner, K&L Gates
Edward G. Eisert, Partner, K&L Gates
Robert Hadley, Partner, K&L Gates
Robert A. Kelly, Managing Director,
Baronsmead Insurance Brokers Limited
Jane Harte-Lovelace, Partner, K&L Gates
Cary J. Meer, Partner, K&L Gates
Philip Morgan, Partner, K&L Gates
Francine J. Rosenberger, Partner, K&L Gates
Sarah L. Stone, Associate, K&L Gates
Sarah E. Turpin, Associate, K&L Gates
HOT TOPICS PANEL
Slide Presentation.................................................................................................................1
K&L Gates Alert “SEC Adopts Revisions to Rules 144 and 145
To Shorten Holding Period for Affiliates and Non-Affiliates,”
Cary J. Meer, Deborah A. Linn and Peter C. Farrand (December 2007) ............................2
K&L Gates Alert “SEC Proposed Revisions to Limited Offering
Exemptions Under Regulation D,” Cary J. Meer, Deborah A. Linn,
Peter C. Farrand and Jill L. Ehrlich (November 2007) ........................................................3
K&L Gates Alert “SEC Adopts Antifraud Rule 206(f)-8 for
Advisers to Pooled Investment Vehicles,” Cary J. Meer and
Alexandra C. Sparling (July 2007) ......................................................................................4
K&L Gates Alert “SEC Adopts Interim Rule Regarding
Adviser Principal Trades and Proposed Rule Interpreting
The Broker-Dealer Exclusion from the Advisers Act,”
Elaine A. Lindenmayer and David Mishel (September 2007) .............................................5
K&L Gates Alert “Hedge Clauses in Advisory Contracts,” Cary J. Meer
and J. Jordan Scott (February 2007) ....................................................................................6
K&L Gates Alert “DOL Issues Final QDIA Regulation”
(December 2007) .................................................................................................................7
K&L Gates Memorandum “ERISA Considerations for Advisers of
Private Investment Funds,” K&L Gates (January 2007) .....................................................8
DC-981834.v.2
K&LNG Alert “Investment Management/ERISA Fiduciary, Advice …
at a Price: Investment Advice and Related Defined Contribution
Plan Fiduciary Provisions of the Pension Protection Act,” K&L Gates
(August 2006) ......................................................................................................................9
K&L Gates Alert, “ERISA Fiduciary New ‘Plan Asset’ Rules for
Unregistered Funds,” K&L Gates (August 2006).............................................................10
K&L Gates Alert, “New Prohibited Transaction Rules,”
K&L Gates (August 2006) .................................................................................................11
K&L Gates Memorandum “Investment Adviser Compliance Summary”
(August 2007) ....................................................................................................................12
K&L Gates Alert “Regulation SHO (Short Sales),” Kay A. Gordon
(June 2007).........................................................................................................................13
SEC Release “SEC Sues London-Based Hedge Fund Adviser
For Illegal Short Selling” (June 2007) ...............................................................................14
FINRA Speech “Remarks by Mary Shapiro, Chairman and CEO, NASD”
(June 2007).........................................................................................................................15
“Survey of 2007 SEC Public Investment Adviser Enforcement Proceedings,”
Clifford J. Alexander and Kathy Kresch Ingber (January 2008) .......................................16
USE OF INSURANCE BY HEDGE FUNDS AND
INVESTMENT MANAGERS TO COVER LEGAL RISKS
Slide Presentation...............................................................................................................17
U.S. D&O/E&O Insurance Coverage for Investment Managers and
Hedge Funds” by Clifford J. Alexander and Julia Reynolds Johnson
(January 2008) ...................................................................................................................18
K&L Gates Insurance Coverage White Paper, “Insurance
Coverage for Mutual Fund Companies” (2007) ................................................................19
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Strategic Risk Article, “Contract Law – The Latest,” by
Sarah E. Turpin (October, 2007)........................................................................................20
Legal Week Article, “In Case of Emergency,” by
Sarah E. Turpin (August, 2006) .........................................................................................21
Strategic Risk Article, “Is The Tide Turning,” by
Jane Harte-Lovelace and Sarah E. Turpin (June, 2006) ....................................................22
Risk UK Article, “Paying the Price of Inadequate
Cover?” by Jane Harte-Lovelace
and Sarah E. Turpin (March, 2006) ...................................................................................23
AIMA, “Professional Risks Insurance for Hedge Funds” by
Robert Kelly, Baronsmead Insurance Brokers Limited (February 2004) ..........................24
OPEN TOPICS SESSION
Independent Directors Council (IDC) Board Update
“Securities Lending: A Q&A with Robert A. Wittie
of K&L Gates” (June 2007) ...............................................................................................25
K&L Gates White Paper “Bank-Broker ‘Push Out’ Rules: Analysis of
Regulation R Implementation” (January 2008) .................................................................26
LRN-Rand Center for Corporate Ethics, Law, and Governance
Technical Report, Excerpts from “Investor and Industry Perspectives on
Investment Advisers and Broker-Dealers” (December 2007) ...........................................27
K&L Gates Outline, “The Principles-Based International Compliance
Model & Rules Based Regulation” (January 16, 2008) .....................................................28
The Financial Services Authority “Principles-based regulation: Focusing
on the outcomes that matter” (April 2007) ........................................................................29
ANTI-MONEY LAUNDERING AND DATA PROTECTION LAWS
Slide Presentation...............................................................................................................30
K&L Gates Hedge Fund/Private Equity Alert
“Bill Providing AMT Relief Could Affect Fund
Deferrals, Carried Interest,” Roger S. Wise (November 2007) .........................................31
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GIFTS, ENTERTAINMENT AND MARKETING SUPPORT
Slide Presentation...............................................................................................................32
“Gifts and Inducements in the UK Financial Services Industry,
Neil Robson and Philip Morgan (January 2008) ...............................................................33
“U.S. Regulatory Scheme with Respect to
Gifts, Business Entertainment and Marketing Support,”
Clifford J. Alexander and Kathy Kresch Ingber (January 2008) .......................................34
The Investment Lawyer “Gifts and Entertainment
Policies: A Guide for Reevaluating the Policies
of Investment Advisers,” Kurt J. Decko (March 2006) .....................................................35
2008 1940 ACT ISSUES FOR INVESTMENT MANAGERS TO
REGISTERED INVESTMENT COMPANIES
Slide Presentation...............................................................................................................36
K&L Gates Alert “SEC Proposes to Enhance Mutual Fund
Disclosure and Provide for New Prospectus
Delivery Option” (December 2007)...................................................................................37
New York Regional Office SEC Examination Form Letter with Checklist
(August 2007) ....................................................................................................................38
Managed Funds Association, Letter Dated December 20, 2007,
Concerning August 2007 New York Regional Office
Examination Form Letter ...................................................................................................39
Investment Company Institute, “Report of the Working Group on
Rule 12b-1” (May 2007) ....................................................................................................40
Investment Company Institute, Comment Letter on “Treasury Review of the
U.S. Regulatory Structure” (December 2007) ..................................................................41
4
Mutual Fund Directors Forum Outline, “A Primer on Derivatives”
and “Glossary of Common Derivatives Terms,” by Clifford J. Alexander and
Kathy Kresch Ingber (November, 2007) ...........................................................................42
Investment Company Institute, Overview of Fund Governance
Practices 1994-2006 (2007) ...............................................................................................43
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