The Mutual Fund Industry and the SEC
Trends, Practice and Enforcement
Thursday | April 7, 2005 | 4:00 p.m. - 7:00 p.m.
Boston Bar Association
Conference Center
16 Beacon Street
Boston, MA 02108
Sponsor:
Criminal Law Section
I. Mutual Fund Industry—Trends in regulation and enforcement
- Market timing/late trading—theories of prosecution
- Conflicts of interest/revenue sharing/gifts and gratuities
- The next scandal in the mutual fund industry - what conduct is of interest to the SEC
- What the SEC is looking for in compliance programs
- What in-house counsel at mutual funds are thinking about now
II. Securities Enforcement Trends and Practice
- Current and future priorities of the SEC and MSD
- What makes enforcement cases criminal
- Hedge Funds— new issues and the effects of the new regulations
- What can defense bar expect when dealing with SEC, MSD and USAO
- Counseling companies during internal audits/investigations
- What does it mean to cooperate with the SEC, MSD and USAO; What do regulators and prosecutors expect; Must the company waive it’s attorney-client privilege; What does it get you
Moderators
Jonathan L. Kotlier , Esq.
Nutter McClennen & Fish LLP
formerly Chief, Economic Crimes Unit
U.S. Attorney’s Office
Donald K. Stern, Esq.
Bingham McCutchen LLP
former United States Attorney
I. Mutual Fund Industry
David P. Bergers, Esq.
Associate Regional Administrator
SEC, Boston
Jack Pirozzolo, Esq.
Assistant U.S. Attorney
Frances Cohen, Esq.
Dechert LLP
Jason A. Tucker, Esq.
Senior Litigation Counsel
Putnam Investments
Brien T. O’Connor, Esq.
Ropes & Gray LLP
II. Securities Enforcement Trends and Practice
Walter G. Ricciardi, Esq.
Regional Administrator
SEC, Boston
Diane Freniere, Esq.
Chief, Economic Crimes Unit
U.S. Attorney’s Office
Bryan Lantagne, Esq.
Chief of Enforcement
MA Securities Division
John J. Falvey, Jr., Esq.
Goodwin Procter LLP
Thomas J. Dougherty, Esq.
Skadden, Arps, Slate, Meagher & Flom LLP
Program Prices
$115 - BBA Member
$145 - Non-Member
$80 - BBA Member - New Lawyer (admitted after 6/2003)
$60 - BBA Member - Legal Services/Government Lawyer
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