The Asset Management Agenda in Washington – If You Expected a Boring Year, Think Again . . . .

10/03/2018 - 12:00 PM to 01:00 PM
Ropes & Gray counsel David Tittsworth, Ropes & Gray partner George Raine, and Fidelity Investments’ Brad Moyer will lead an interactive discussion about the current and foreseeable Washington, DC agenda for asset management firms....
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The SEC’s New Mutual Fund Liquidity Rule

05/31/2018 - 12:00 PM to 01:00 PM
For the first time in the 80-year history of the Investment Company Act, the SEC has adopted a formal regulation governing the liquidity of mutual fund portfolios beyond money market funds. New rule 22e-4 will require the active participation of fund boards, portfolio managers, finance officers, reporting and operations...
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Meet the Bank Regulators

05/18/2018 - 12:30 PM to 01:30 PM
Please join us for a panel discussion with the Massachusetts Commissioner of Banks and regulators from the FDIC and the Federal Reserve Bank of Boston....
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ERISA Litigation Against Financial Services Firms: Claims, Outcomes and Mitigating Risk

05/15/2018 - 12:00 PM to 01:00 PM
Hear from experts about recent ERISA claims against financial services firms, including what claims are being brought against financial services firms, how those claims have fared in court, and suggestions for mitigating risk....
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Investor Activism & Closed-End Funds

05/02/2018 - 12:00PM to 1:00PM
Learn what to do, and what not to do, when a closed-end fund client receives a shareholder proposal during proxy season....
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Lunch and Learn with Tom Curry: Former Comptroller of the Currency, FDIC Board Member and Massachusetts Commissioner of Banks

03/29/2018 - 12:00 PM to 1:00PM
Please join us for a lunchtime discussion with Tom Curry, who returned to private practice in Boston after many years as a senior bank regulator, most recently as Comptroller of the Currency....
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Blockchain and Cryptocurrency Forum

03/28/2018 - 04:00 PM to 07:30 PM
Want to know the latest in blockchain and cryptocurrency? This forum is a chance for beginners and experts alike to learn about the applications of this technology and where it may be going in the near future....
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Insurance Coverage for Government Investigations

03/26/2018 - 12:00 PM to 01:00 PM
This program will explore coverage available under D&O and E&O policies for government investigations, including coverage for subpoenas, target letters and Wells Notices....
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SEC Asset Management Priorities and Insights from the Bar

03/19/2018 - 12:00PM to 1:00PM
SEC examination and enforcement staff will give an update on asset management priorities and initiatives, with a focus on private fund examinations and investigations....
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POSTPONED: ERISA Litigation Against Financial Services Firms: Claims, Outcomes and Mitigating Risk

03/14/2018 - 12:00 PM to 01:00 PM
Hear from experts about recent ERISA claims against financial services firms, including what claims are being brought against financial services firms, how those claims have fared in court, and suggestions for mitigating risk....
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SEC and FINRA Enforcement Priorities for 2018

02/13/2018 - 12:30 PM to 01:30 PM
Hear from key local SEC and FINRA personnel on their agencies’ enforcement and regulatory priorities going into 2018....
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Fundamentals of a Financial Services Legal Practice

01/19/2018 - 12:00PM to 01:00 PM
This installment of the BBA's Friday Fundamentals will describe the various types of investment advisers/investment vehicles, the relevant statutes/rules/regulations and what a securities/IM lawyer does, both in-house and a firm....
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Investment Adviser Custody Issues Post-Madoff

12/07/2017 - 12:00PM to 1:00PM
Join us to discuss the history of the rule and its evolving requirements, including the impact of recent SEC staff guidance issued in February 2017 and how investment advisers can ensure that they remain compliant....
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