Previous Events & CLE Programs
June 4, 2008
Committee Meeting
Overview of ETF's
Please join us for a special presentation by Mark Tuttle, State Street Bank and Trust Company. Mark will provide an overview of Exchange Traded Funds ("ETF's"), which have recently become a very popular investment vehicle in the investment management industry. Mark will review the prior exemptive relief granted by the SEC which permits ETF's, the SEC's proposed rule which codifies the prior exemptive relief and current ETF operational issues.
April 9, 2008
Committee Meeting
Mutual Fund Litigation and Enforcement Proceedings
Sponsors
Securities Enforcement & Litigation Committee
Securities Law Committee
Investment Companies & Advisers Committee
Join James R. Carroll, Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates, and Jason A. Tucker, Putnam Investments, for an update on mutual fund litigation and enforcement proceedings, including:
- market timing
- revenue sharing
- excessive fees litigation
- gifts and gratuities enforcement actions
April 2, 2008
Committee Meeting
Hedge Fund Industry Developments
Please join us for a special presentation by Michael S. Caccese, K&L Gates. Mr. Caccese will discuss recent developments in the hedge fund industry, including regulatory and ethical issues. This program will be highly relevant to experienced private practitioners and in-house counsel in the hedge fund industry, and to those attorneys seeking a primer on the hedge fund industry.
November 29, 2007
Committee Meeting
Ireland as a Strategic Gateway to the European Investment & Financial Services Market
Join us as representatives from the Dublin office of Dillon Eustace speak about the burgeoning fund markets in Ireland and the EU and provide an overview of the regulatory structures in these jurisdictions. Dillon Eustace will also provide their insight as to where these fund markets are headed.
Dillon Eustace is a leading Irish law firm with the largest dedicated group of financial services lawyers in Ireland and has been ranked consistently as the #1 Irish legal advisor for investment funds since 2000.
November 7, 2007
Committee Meeting
Global Outsourcing in Investment Management Industry - Legal Issues and Challenges
Geoffrey Kenyon, Partner at Goodwin Procter LLP, will discuss legal limitations and challenges of outsourcing of investment-related operations to foreign locations, or offshoring. This phenomenon has become more common in the asset management industry as managers are moving increasingly complex jobs and functions overseas in a bid to take advantage of the expertise of foreign affiliates, cut costs and increase efficiencies. Bring your questions and stories. We are hoping for a lively discussion and sharing of experiences.
October 29 - 21, 2007
Committee Event
1st Annual National Institute on Investment Management Basics
This National Institute is a two-and-one-half day primer on the regulation of investment companies (mutual funds) and functionally similar entities. If you need a primer or a refresher on the operation and the regulation of investment companies, you can’t afford to miss this program. Attendance is limited, so register early! BBA members will receive the same discount as ABA Members.
Sponsors
American Bar Association Section of Business Law and the Center for Continuing Legal Education
Morin Center for Banking and Financial Law of Boston University School of Law
Investment Companies & Advisers Committee of the Boston Bar Association
October 23, 2007
Committee Meeting
Views from FINRA: Overview of Current Regulatory Initiative & Enforcement Matters
Sponsors
Securities Law Committee
Mergers & Acquisitions Committee
Banking & Financial Services Committee
Corporate Counsel Committee
Corporate Law Committee
Investment Companies & Advisers Committee
Securities Enforcement & Litigation Committee
Trusts & Estates Section
Frank Sanclemente, Regional Counsel for the Financial Industry Regulatory Authority, will discuss the current initiatives of FINRA relating to the protection of senior investors. Mr. Sanclemente will discuss the regulatory issues affecting firms and registered representatives, as well as present an overview of enforcement matters originating out of FINRA’s Boston District Office.
FINRA is the largest non-governmental regulator for all securities firms doing business in the United States and was created in July 2007 through the consolidation of NASD and the member regulation, enforcement and arbitration functions of the NYSE.
June 28, 2007
Committee Meeting
What’s New with SEC Investment Company & Investment Adviser Examinations
Lucy Corkery, Associate Regional Director for Examinations for the Boston regional office of the SEC and Steven W. Hansen, Frances S. Cohen and Toby R. Serkin of Bingham McCutchen LLP will discuss recent developments with respect to SEC examinations of investment companies and investment advisers. This discussion will focus on the examination process, including:
- How to prepare for an exam
- How to handle an exam
- What you may expect in the exam process
- How to lay the groundwork for a successful follow-up
March 22, 2007
Committee Meeting
An Introduction to Islamic Finance
Sponsors
Banking & Financial Services Committee
Commercial Finance Committee
Corporate Counsel Committee
Investment Companies & Advisers Committee
Morin Center for Banking & Financial Law
Babback Sabahi, Associate at Mayer Brown LLP will discuss the principles of Islamic Finance, which is based on teachings contained in the Koran. The lecture will examine simple and complex financial transactions and how they can be structured along Islamic financial principles.
March 1, 2007
Committee Meeting
Globalization of Securities Exchanges
Sponsors
Business Law Section
Banking & Financial Services Committee
Corporate Counsel Committee
Investment Companies & Advisers Committee
Securities Law Committee
The Morin Center for Banking & Financial Law
Erik Sirri, Director of the Division of Market Regulation for the Securities and Exchange Commission will discuss the evolution of exchanges from serving local financial markets to their expansion overseas as a result of acquisitions of foreign exchanges. The lecture will explore the implications of these acquisitions from a regulatory and economic standpoint.
February 22, 2007
Committee Meeting
Committee Meeting: The Pension Protection Act and Its Impact on Investment
Sponsors
Investment Companies & Advisers Committee
Banking & Financial Services Committee
ERISA Committee
Susan Camillo, a partner at Dechert LLP, and Scott Webster, a partner at Goodwin Procter LLP, will discuss the impact of the Pension Protection Act on investment advisers that deal with ERISA assets. Specifically, they will discuss:
- changes to ERISA’s “plan assets” rule which have affected how managers of unregistered investment funds structure and operate those funds;
- the new statutory exemptions from ERISA’s “prohibited transaction” rules;
- the new provisions of ERISA on participant investment advice;
- new rules on the selection of default investments and the mapping of investment options.
January 25, 2007
Committee Meeting
What Every Investment Lawyer Should Know About Energy Laws Post 2005
Gregory K. Lawrence, Partner at McDermott, Will & Emery, will discuss the implications of the post 2005 regulatory regime for investment companies and advisers. The 2005 Energy Policy Act:
- repealed the Public Utility Holding Company Act (PUHCA) of 1935 and replaced it with the PUHCA of 2005,
- amended the Federal Power Act, and
- transferred certain regulatory oversight responsibilities from the SEC to the Federal Energy Regulatory Commission.
October 26, 2006
Committee Meeting
M&A in Asset Management Industry
The building momentum of MFS and Putnam deals has refocused attention on mergers and acquisitions in the asset management industry. These transactions raise significant business, legal and compliance issues. Please join us for a panel discussion by industry experts who will focus on these issues, including:
- The business considerations driving purchases and sales of advisory businesses and valuation issues
- The types of transaction structures
- The anatomy of a typical financial services M&A deal and special considerations in these types of deals
- Management ownership and incentives and related structuring considerations
- Special issues in fund reorganizations and the role of the fund board
Please bring your questions.
Panelists:
Elizabeth Shea Fries
Partner, Goodwin Procter LLP
Thomas J. LaFond
Partner, Goodwin Procter LLP
Raj Marphatia
Partner, Ropes & Gray LLP
Brian D. McCabe
Partner, Ropes & Gray LLP
Joseph R. Ramrath
Managing Director, Colchester Partners LLC
September 28, 2006
Committee Meeting
Program Year Kick Off
Join us as we kick off the 2006-2007 program year. We are currently seeking topics and suggested presenters for our brown bag lunches and CLE program and would appreciate your input. If you are unable to attend this meeting, you are always welcome to email your ideas to us.
David Fietze, Co-Chair
dfietze@cgmstaff.com
Dina Clements, Co-Chair
Dina.Clements@fmr.com
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