Category: Securities Law

ABA Investment Management Basics Boston Univ. Oct. 13 – 15

The National Law Review is proud to support – the American Bar Association Business Law Section, the ABA Center for Continuing Legal Education, and the Morin Center for Banking and Financial Law of Boston University School of Law present the 3rd presentation of a two-and-one-half day introduction to the regulation of investment companies (mutual funds) and functionally similar entities.

Attend This Program And Learn What You Need To Know About …
  • The structure of the investment management industry
  • The anatomy of an investment company “family” of funds
  • The regulatory scheme imposed on investment companies and related service providers
  • The mechanics of the two “40 Acts: Investment Company Act and Investment Advisors Act”
  • Modern governance standards for investment companies
  • Distribution of fund shares and the fiduciary and regulatory issues raised
  • Contrasting regulation of hedge funds and private equity funds
  • “Hot issues” in the industry

Who Should Attend This National Institute?

  • Lawyers at all levels of experience (including regulators) who are involved or expect to become involved in issues surrounding the investment company industry
  • Private practitioners who advise corporate clients on related matters
  • Consultants, accountants, and bank executives seeking a more comprehensive understanding of this changing industry

MCLE

Mandatory continuing legal education (MCLE) accreditation has been requested from all states that require continuing legal education. 17.50 hours of CLE credit, including 1.00 hours of Ethics credit, have been requested from those states recognizing a 60-minute credit hour and 21.00 hours of CLE credit, including 1.00 hours of Ethics credit, have been requested from those states recognizing a 50-minute credit hour. For NY-licensed attorneys: This transitional CLE program has been approved for all NY-licensed attorneys in accordance with the requirements of the New York State CLE Board (17.50 including 1.00 

hours of Ethics total NY transitional MCLE credits).

For more information and to register go to the ABA CLE Website.


ABA – The Fifth Annual National Institute on Securities Fraud Oct 7 & 8th New Orleans

Looking for a good excuse to head to New Orleans?  The National Law Review would like to remind you that the American Bar Association’s Business Law Section, Criminal Justice Section, Section of Litigation, and the Center for Continuing Legal Education are sponsoring the 5th Annual National Institute on Securities Fraud: 

The aftermath of the global financial crisis continues to cause uncertainty in the areas of securities regulation and enforcement. SEC and DOJ collaboration has increased, with both agencies pursuing aggressive legal theories.  Congress has passed the most sweeping changes to the federal securities laws since they were enacted in the 1930s. And state attorney generals continue to assert a significant role in enforcing state securities laws.

This unprecedented confluence of events raises significant questions for industry participants and publicly traded companies that require a forward-looking and flexible approach to avoiding missteps.

The 2010 program will squarely address the issues and trends that are shaping the direction of securities regulation and enforcement for decades to come, including the status and potential impact of financial reform legislation,  the enforcement trends suggested by recent cases, and the priorities of top enforcers.  The program will provide valuable strategic and tactical insights to navigate this ever-changing terrain, from the perspective of thought leaders of every persuasion, including judges, prosecutors, regulators, compliance officers, and defense counsel.

The Securities Fraud National Institute Planning Committee, in cooperation with the Criminal Justice Section White Collar Crime Committee and the Business Law Section, will provide an educational and professional forum to discuss the legal and ethical issues that arise in securities fraud matters. For More Information – Click Here: