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The Latest Developments with Investment Companies, Private Funds and Investment Advisers
11/7/2013
Investment Management
The New York Hilton & Towers
1335 Avenue of the Americas
New York, NY 10019
Speaking Engagement
45th Annual Securities Regulation Institute
11/6/2013
Capital Markets, Investment Management, Securities: Regulatory + Enforcement
The New York Hilton & Towers
1335 Avenue of the Americas
New York, NY 10019
Speaking Engagement
Private Equity Structuring: The Basics
10/3/2013
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Investment Management, Private Equity Funds
New York City Bar
42 West 44th Street
New York, NY 10036
Speaking Engagement
Shadow Banking: Out of the Shadows and Into the Light
9/17/2013
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Investment Management
Webinar
SEC and CFTC – Living in Peace and Harmony?: The CFTC's Harmonization Rules
9/4/2013
Banking + Financial Services, Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services, Investment Management
Webinar
U.S. Investment Management: Issues for Public Funds
8/29/2013
Investment Management
Bogotá, Colombia
Speaking Engagement
SEC Proposes Amendments to Money Market Fund Requirements
8/5/2013
Banking + Financial Services, Financial Institutions + Financial Services, Investment Management
Webinar
Enforcement: Targets and Tips on Negotiating a Settlement
7/24/2013
Investment Management, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Webinar
Money Market Fund Reform: How the SEC's New Proposal Will Impact You
7/23/2013
Investment Management
Webinar
JOBS Act Implementation:
Rule 506 Rulemaking Teleconference
7/11/2013
Capital Markets, Financial Institutions + Financial Services, Investment Management, Public Companies Counseling + Compliance
Webinar
The Exchange: The SEC's Money Fund Proposals
6/13/2013
Investment Management
Webinar
At what cost do we achieve investor protection?
6/10/2013
Investment Management
Boston Harbor Hotel
70 Rowes Wharf
Boston, MA 02110
Speaking Engagement
Are You a Commodity Pool Operator? And, is it Curable?
6/4/2013
Banking + Financial Services, Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services, Investment Management
Webinar
Valuation Issues, Obligations and Challenges
6/3/2013
Investment Management
Morrison & Foerster LLP
5200 Republic Plaza
370 Seventeenth Street
Denver, CO 80202
Seminar
Exchange-Traded Funds: Issues for 2013
5/14/2013
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Investment Management
Morrison & Foerster LLP
39th Floor
1290 Avenue of the Americas
New York, NY 10104
Seminar
Rocky Mountain Securities Conference
5/10/2013
Investment Management
Denver Marriott City Center
1701 California Street
Denver, CO 80202
Speaking Engagement
AIFMD, MIFID II and European Operations – Issues in Securities Valuation
5/9/2013
Investment Management
25 Bank Street
Canary Wharf
London E14, UK
Speaking Engagement
Due Diligence, Legal and Regulatory Issues
4/25/2013
Investment Management
J.P. Morgan
383 Madison Avenue
2nd Floor Auditorium
New York, NY 10179
Speaking Engagement
ICI Mutual Insurance Company Risk Management Conference
4/10/2013
Investment Management
The Hermitage Hotel
231 6th Ave N
Nashville, TN 37219
Speaking Engagement
Citi’s Annual Chief Compliance Officer (CCO) Forum – Promoting CCO peer interaction and dialogue
4/9/2013
Investment Management
Hilton Columbus at Easton
Juniper B&C Rooms
3900 Chagrin Drive
Columbus, OH 43219
Speaking Engagement
In the Valley of the Shadow Banking System: The Future of Money Market Regulation in the Post-Dodd Frank Era
4/4/2013
Investment Management
Washington Hilton
1919 Connecticut Ave NW
Washington, D.C. 20009
Speaking Engagement
What Every Private Fund Adviser Should Know About: Advisers Act Restrictions on Marketing Funds
4/3/2013
Investment Management, Private Equity Funds
MoFo New York
1290 Avenue of the Americas
(between 51st and 52nd streets)
New York, NY 10104
Seminar
Structured Thoughts Master Class: Proprietary or Research-Based Indices
4/2/2013
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Investment Management, Structured Products
Morrison & Foerster LLP
1290 Avenue of the Americas
New York, NY 10104
Seminar
Are you a Commodity Pool Operator? And, is it Curable?
3/6/2013
Banking + Financial Services, Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services, Investment Management, REITs
The Michelangelo Hotel
152 W 51st St
New York, NY 10019
Seminar
SPA 2013 Structured Products Distribution Conference
3/6/2013
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Investment Management, Structured Products
New York Athletic Club
180 Central Park South
New York, NY 10019
Speaking Engagement
Exchange-traded Funds: Issues for 2013
2/21/2013
Banking + Financial Services, Broker-Dealer Compliance + Regulation, Financial Institutions + Financial Services, Investment Management
Webinar
Money Market Fund Reform: The FSOC Forecast
2/19/2013
Banking + Financial Services, Financial Institutions + Financial Services, Investment Management, Securities: Regulatory + Enforcement
Webcast
Speaking Engagement
Institutional Investor Institute Senior Delegates Roundtable
1/22/2013
Investment Management
The Ritz Carlton, Bachelor Gulch
130 Daybreak Ridge Road
Avon, CO 81620
Speaking Engagement
BoardIQ Exchange webcast: Parsing Out the Reserve Fund Ruling
11/27/2012
Investment Management
Speaking Engagement
AVCJ Private Equity & Venture Capital Forum 2012
11/13/2012
Investment Management
Grand Hyatt Hong Kong
1 Harbour Road, Wan Chai
Hong Kong, China
Speaking Engagement
Investment Company Use of Derivatives
10/30/2012
Investment Management
Boston, MA
Speaking Engagement
Swap Definitions, Mixed Swaps, and Books and Records Requirements: New Joint Rules from the CFTC and the SEC
8/24/2012
Banking + Financial Services, Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services, Investment Management
Webinar
How to Evaluate Private Capital – Alternatives to Securitization
8/2/2012
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Investment Management, Structured Finance + Securitization
Webinar
How much Capital is ‘Enough?’ Understanding the New Regulatory Capital Needs of U.S. Financial Institutions
8/1/2012
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Investment Management
Webinar
Derivatives, Swaps and Regulatory Reform
4/5/2012
Investment Management
Columbus, OH
Speaking Engagement
Dodd-Frank Changes to Investment Adviser Regulation
3/24/2012
Investment Management
Caesars Palace
3570 Las Vegas Blvd S
Las Vegas, NV 89109
Speaking Engagement
Regulatory and Enforcement Trends in Investment Management
11/18/2011
Corporate, Financial Institutions + Financial Services, Investment Management, Mergers + Acquisitions
The Ritz-Carlton
1150 22nd Street, N.W.
Washington, D.C. 20037
Speaking Engagement
CFO Agenda on New Regulatory/Compliance Issues
11/11/2011
Corporate, Financial Institutions + Financial Services, Investment Management, Mergers + Acquisitions
The Elysian Hotel
11 East Walton Street
Chicago, IL 60611
Speaking Engagement
OTC Derivatives:
Dodd-Frank Changes the Landscape
11/2/2011
Corporate, Financial Institutions + Financial Services, Investment Management, Mergers + Acquisitions
Boston, MA
Speaking Engagement
What's Next for Money Market Funds?
7/28/2011
Investment Management
Webinar
SEC's New Dodd-Frank Fund Oversight Rules
7/19/2011
Capital Markets, Corporate, Financial Institutions + Financial Services, Investment Management, Private Equity Funds
Webinar
BoardIQ Exchange
6/23/2011
Investment Management
21 Club
21 West 52nd Street
New York, NY 10019
American Bar Association, Section of Business Law, Spring Meeting
4/15/2011
Investment Management
Boston, MA
Speaking Engagement
West Legalworks Webinar: Hedge Funds and Private Funds after the Dodd-Frank Act
8/2/2010
Capital Markets, Corporate, Financial Institutions + Financial Services, Investment Management, Private Equity Funds
Webinar
PLI Webcast: Dodd-Frank Act: The Impact on Funds and Private Placements
7/13/2010
Banking + Financial Services, Capital Markets, Corporate, Financial Institutions + Financial Services, Investment Management, Private Equity Funds
Webinar
ETNs, ETFs: What's the Difference? Have all the Lines Been Blurred?
4/29/2008
Capital Markets, Derivatives + Commodities, Federal Tax, Investment Management, Structured Products
New York, NY
Seminar
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