A Review of the 1940 Act and the Advisers Act – Still Spry at 75

05/27/2015

Investment Management

Morrison & Foerster LLP
4200 Republic Plaza
370 Seventeenth Street
Denver, CO 80202-5638

Jay G. Baris

Jay G. Baris

Seminar

Partner Jay Baris and Kate Ives of OppenheimerFunds presented a review of the 1940 Act and the Advisers Act in Denver, CO. They covered issues including congressional intent, affiliates and conflicts of interest, governance and board oversight, limit on leverage and valuation, and compliance infrastructure.

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