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RESOURCES & RECOGNITION |
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Our Capabilities:
Stradley Ronon & R.R. Donnelly Publications
The Investment Company Act of 1940 and Investment Advisers Act of 1940, 20th Edition
THE REGULATION OF COMMODITY POOL OPERATORS AND COMMODITY TRADING ADVISORS UNDER THE COMMODITY EXCHANGE ACT: 1940 Regulatory Materials Relevant To The Act Practitioner
The Registration of Mutual Funds, 21st Edition
Mergers of Investment Companies, 8th Edition
Mutual Fund Record Retention Reference Guide, 2nd Edition
2nd Edition, The Guide to Rule 2a-7
Stradley Ronon's Investment Management/Mutual Funds Practice Group has been named one of the top 10 for number of mutual fund clients by Mutual Fund Wire, an online news publication covering the Mutual Fund and 1940 Act industry.
Stradley Ronon's Investment Management/Mutual Funds Practice Group was recommended in the area of "Investment fund formation and management - Mutual/registered funds" by the Legal 500. In addition, Chair Bruce Leto was recognized on the "Leading Lawyers List," the Legal 500 U.S. guide to outstanding attorneys nationwide.
American Lawyer Media, has named Stradley Ronon as a 2011 Go-To Law Firm® for Financial Services Companies - Securities.
Stradley Ronon's Investment Management/Mutual Funds Practice Group was named as one the top firms nationally for Investment Funds: Registered Funds in the 2012, 2011, 2010 and 2009 editions of Chambers USA: America's Leading Lawyers for Business. In 2010, Chambers noted, "Stradley Ronon has a strong core of practitioners advising mutual funds - both open and closed-end - and their boards on reorganizations and acquisitions. As part of a full-service firm, the group can also offer clients the benefits of additional ERISA and SEC expertise." A Chambers source said "I enjoy working with Stradley - it is always conscientious about expenses and fees."
Stradley Ronon was named a “Tier 1” firm in Philadelphia for mutual fund law in the 2012 edition of The Best Lawyers in America. Best Lawyers is regarded as a definitive guide to legal excellence in the United States. Selection to this exclusive group is based on an exhaustive peer-review survey in which attorneys throughout the country submitted more than 2.8 million detailed evaluations of firms and lawyers in their specialties.
FundLaw:
John Baker, an attorney in our Washington, D.C., office publishes an Internet-based e-mail newsletter that digests recent regulatory developments and is periodically distributed to our clients and firm friends. FundLaw also offers readers the ability to quickly access the underlying rule, court decision, press release or other source documents when they require more in-depth knowledge and perspective of an issue.
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| Investment Management/Mutual Funds: News and Events |
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Firm News:- Stradley Ronon Partners Host CLE Course on Foreign Corrupt Practices Act
May 17, 2013 - Stradley Ronon Attorney Speaks on Money Market Reform at SIFMA Conference
May 15, 2013 - Stradley Ronon Partner Speaks at 15th Annual Sub-Advised Funds Forum
May 8, 2013 - Stradley Ronon Attorneys Speak at Quinnipiac Global Asset Management Education Forum in New York City
May 1, 2013 - Stradley Ronon Hosts "Food for Thought" Seminar Series at 2013 Mutual Funds and Investment Management Conference
April 23, 2013 - Stradley Ronon Partner Serves as Panelist at 2013 Mutual Funds and Investment Management Conference
April 19, 2013 - Stradley Ronon's Investment Management Group Hosts "Farm to Table" Dinner with Food Network Iron Chef Jose Garces
April 15, 2013 - Stradley Ronon Represents Nationwide Financial in Agreement to Acquire 17 Funds from HighMark Capital
April 10, 2013 - Stradley Ronon Welcomes Five New Associates
December 11, 2012 - Four Stradley Ronon Attorneys Named to Pro Bono Roll of Honor
November 28, 2012 - Stradley Ronon Partner Speaks at CFA Society
November 27, 2012 - Michael Mundt Presents Mutual Fund Directors Forum Webinar
November 20, 2012 - Stradley Ronon Partners Present Active ETFs Seminar
November 13, 2012 - 21 Stradley Ronon Attorneys Named 2013 Philadelphia Best Lawyers
November 12, 2012 - Stradley Ronon Organizes Philadelphia's Animal Care & Control Team Donation Drive 2012
November 6, 2012 - Stradley Ronon Partner Presents at Sub-Advised Funds Forum
October 17, 2012 - Stradley Ronon Partner Discusses ETFs at Deloitte Webcast
October 8, 2012 - Stradley Ronon Partner Serves as Moderator for J.P. Morgan’s Global Fund Distribution Forum
July 6, 2012 - Partner Speaks at National Regulatory Services’ 27th Annual Spring Compliance Conference
June 19, 2012 - Stradley Ronon Partner to Speak at World Series of ETFs and Investment Management
May 4, 2012 - Stradley Ronon Partner to Speak at Philadelphia Bar Association
April 17, 2012 - Stradley Ronon Attorneys Speak at Global Asset Management Education Forum in New York City
April 13, 2012 - Stradley Ronon Partner Speaks at Mutual Funds and Investment Management Conference
April 11, 2012 - Stradley Ronon Partners Present on Securities Lending
April 10, 2012 - Stradley Ronon Partner Speaks at Risk Management Conference
April 9, 2012 - Firm Recognized by Chambers USA
March 16, 2012 - Barbara Nugent and Craig Blackman Present at Mutual Fund Directors’ Forum Annual Conference
February 27, 2012 - Stradley Ronon Adds Leading Securities Attorney
February 9, 2012 - Stradley Ronon Announces New Partners
January 17, 2012 - Joan Ohlbaum Swirsky to Speak at Crane Data’s “Money Fund University”
January 9, 2012 - Firm Hosts Investment Adviser M&A Strategies Webinar
November 29, 2011 - Michael Mundt to Present at Super Bowl of Indexing Conference
November 21, 2011 - Firm Hosts Investment Adviser M&A Strategies Webinar
November 7, 2011 - Stradley Ronon Named Top Firm in Philadelphia
November 1, 2011 - Alan Gedrich Speaks at CFA Society Event
October 28, 2011 - Firm Hosts Investment Adviser M&A Webinar
October 20, 2011 - Lawrence Stadulis Presents at 2011 National Society of Compliance Professionals Meeting
October 11, 2011 - Former SEC Assistant Director Joins Firm
August 3, 2011 - Lawrence Stadulis to Speak at ALI-ABA Course of Study: Investment Company Regulation and Compliance
July 15, 2011 - Kristin Ives Speaks in ICI Webinar
July 12, 2011 - Firm Recognized by Legal 500
June 27, 2011 - Lawrence Stadulis Discusses Social Media at Money Management Institute Conference
June 22, 2011 - Matthew DiClemente Speaks at PECFOA Chapter Meeting
June 17, 2011 - Joan Swirsky Authors 2nd Edition of The Guide to Rule 2a-7
June 15, 2011 - Joan Swirsky to Speak at Crane’s Money Fund Symposium
June 3, 2011 - Lawrence Stadulis to Speak at FINRA Annual Conference
May 17, 2011 - Lawrence Stadulis Speaks at ICI’s Mutual Fund Compliance Programs Conference
May 13, 2011 - Joan Swirsky Presents at Investment Company Institute Meeting
May 10, 2011 - Lawrence Stadulis to Present at IRA Summit
April 22, 2011 - Fabio Battaglia, Aidan O'Connor and Christopher Zimmerman Present at Asset Management Forum
April 6, 2011 - Lawrence Stadulis and Matthew DiClemente Present Advisors Act Webinar
March 31, 2011 - Stradley Ronon Recognized by Chambers USA
March 23, 2011 - Lawrence Stadulis to Present at ICI Mutual Funds and Investment Management Conference
March 18, 2011 - Larry Stadulis to Present at ACA Compliance Group Spring 2011 Compliance Conference
February 28, 2011 - Jessica Burt Joins Stradley Ronon as an IMG Associate
January 24, 2011 - Bruce Leto Named one of the "100 Most Influential People in the '40 Act Industry"
December 3, 2010 - Firm Selected as 2011 Go-To Law Firm
December 2, 2010 - David Franceski and Lawrence Stadulis to Speak at NSCP Meeting
October 1, 2010 - Lawrence Stadulis to Serve as Panelist at Marketing & Advertising Compliance Forum for Investment Advisers
September 10, 2010 - 21 Stradley Ronon Attorneys Named to Best Lawyers in America 2011
August 17, 2010 - Firm Hosts Seminar on EU Developments Affecting Public and Private Funds
- Firm Hosts Webinar on Dodd-Frank Act
August 12, 2010 - Lawrence Stadulis and Alison Fuller Serve as Panelists at ALI-ABA Seminar
June 8, 2010 - Lawrence Stadulis Moderates FINRA Panel Discussion
June 3, 2010 - Lawrence Stadulis Serves as Panelist at ICI Operations and Technology Conference
May 10, 2010 - Firm Hosts Seminar on Exchange Traded Funds
May 3, 2010 - Joan Ohlbaum Swirsky Presents Mutual Fund Directors Webinar
April 29, 2010 - Lawrence Stadulis Presents at NRS Annual Spring Compliance Conference
April 28, 2010 - Fabio Battaglia, Aidan O'Connor and Christopher Zimmerman Present Panel Discussion at Investment Forum
March 25, 2010 - Bruce Leto and Gregory DiMeglio Speak at ICI Webinar
March 23, 2010 - Michael O'Hare Serves as Panelist on BoardIQ Webinar
March 19, 2010 - Stradley Ronon Recognized by Chambers USA
March 16, 2010 - Joan Ohlbaum Swirsky to Present Money Market Webinar
February 1, 2010 - Joan Ohlbaum Swirsky Presents at SIFMA Seminar
September 23, 2009 - Bruce Leto Selected as Ignites Fund Titan
September 16, 2009 - Bruce Leto Nominated as Fund Titan
September 3, 2009 - Michael O'Hare Presents at ICI Mutual Fund Compliance Programs Conference
May 12, 2009 - Lawrence Stadulis to Speak at FINRA Annual Conference
April 20, 2009 - Matthew DiClemente Recognized at Annual Mutual Fund Industry Awards
April 3, 2009 - Joan Ohlbaum Swirsky to Present at Money Market Expo
February 26, 2009 - Joan Ohlbaum Swirsky Serves as Ignites Panelist
November 10, 2008 - Firm Adds Two Investment Management Associates
July 11, 2008 - Multiple Attorneys and Practice Groups Recognized by Chambers USA
June 13, 2008 - Firm Adds Ballard Spahr’s Rheiner and Four Others to ’40 Act Practice
March 17, 2008 - Lawrence P. Stadulis to Speak at National Regulatory Services Conference
February 12, 2008 - Firm Announces New Partners
January 16, 2008 - Greg DiMeglio to Moderate at Internal & Government Investigations Conference
January 7, 2008 - Investment Management Associate Joins Firm
January 2, 2008 - Stradley Ronon Adds New Associates
November 13, 2007 - Stradley Ronon Adds Investment Management Associate
October 15, 2007 - Stradley Ronon Partner Appointed to Advisory Commission
September 24, 2007 - Gedrich Appointed to Penn State Alumni Council
July 16, 2007 - Stradley Ronon Attorneys Named 2007 “Pennsylvania Super Lawyers”
June 25, 2007 - Former Drinker Attorneys Join Stradley Ronon’s Investment Management Group
May 17, 2007 - SEC Assistant Chief Counsel Joins Stradley Ronon
May 17, 2007 - Leto Appointed to BoardIQ Advisory Board
May 29, 2007 - Stradley Ronon Adds Investment Management Associate
April 11, 2007 - Firm Recognized by Chambers USA
April 5, 2007 - Stradley Ronon Adds Four Associates
March 13, 2007 - Stradley Ronon Announces New Partners
January 9, 2007 - 11 Stradley Ronon Partners Named to Best Lawyers in America 2007
September 5, 2006 - Securities Litigation Associate Joins Stradley Ronon
August 7, 2006 - Stradley Ronon Attorneys Named 2006 “Pennsylvania Super Lawyers”
June 9, 2006 - Leto Elected to Stradley Ronon’s Board of Directors
February 8, 2006
Press Clippings: - Michael Mundt Quoted in BoardIQ Regarding the Differences Between Mutual Funds and ETFs
"Fidelity’s New Sector Fund Board Divides Oversight Labor"
March 12, 2013 - Michael Mundt Discusses with Ignites the SEC's Faster ETF Reviews
"SEC Speeding Up Lengthy ETF Reviews"
March 6, 2013 - Bruce Leto Discusses Proxy Voting with BoardIQ
"Longleaf Funds Adviser Wields Proxy Power Against Dell"
February 26, 2013 - John Baker Discusses with Fund Industry Intelligence Whether Broker-Dealers Can Change Customer Agreements to Avoid Class Actions
"FINRA Panel Swats Away Class Action Lawsuits"
February 25, 2013 - Joan Ohlbaum Swirsky Talks with Ignites about the Possibility of the SEC Stepping Back Regarding Money Fund Reform
"FSOC Flooded With Money Fund Comment Letters"
February 21, 2013 - Joan Ohlbaum Swirsky Discusses the Effects of Publishing Daily NAVs with ACA Insight
"Major Money Market Fund Players to Publish Daily NAVs"
February 1, 2013 - Joan Ohlbaum Swirsky Discusses the Benefits of Transparency in Money Funds With Bloomberg Businessweek
"Fidelity, Federated Cement Money Fund Shift on Values"
January 11, 2013 - John Baker Discusses Excessive Investment Advisory Fee with Mutual Fund Directors Forum
"Court Refuses to Dismiss Excessive Advisory Fee Case"
December 21, 2012 - John Baker Discusses Mutual Fund Fee Complaints with Fund Industry Intelligence
"36(b) Action Survives Motion To Dismiss"
December 19, 2012 - Joan Ohlbaum Swirsky Discusses the Ramifications of a Recent SEC Report with Ignites
"No Smoking Gun for Reform in SEC Report: Industry"
December 11, 2012 - Joan Ohlbaum Swirsky Discusses FSOC Reform Recommendations for Money Market Funds with Crane Data
"Fund Alert on FSOC recommendations"
December 6, 2012 - Alison Fuller Discusses with Ignites Continuity Within the SEC After Chairman Schapiro's Departure
"SEC Power Split Likely to Hinder New Rules, Reform"
December 4, 2012 - Bruce Leto Discusses the Positives of Combining Investment Advisory Services and Investment Administration Services with BoardIQ
"SEC OKs Merging 15(c), Admin Contracts Without Vote"
December 4, 2012 - Joan Ohlbaum Swirsky Discusses the Effect of Proposed Industry Money Fund Reforms on Fund Boards with Fund Directions
"Industry Money Fund Scheme Could Boost Board Duties"
December 1, 2012 - Joan Ohlbaum Swirsky Discusses Potential Money Fund Reforms with BoardIQ
"How Directors Can Process FSOC’s Money Fund Reform Push"
November 20, 2012 - Joan Ohlbaum Swirsky Discusses Potential FSOC Reforms with Ignites
"Senator Stands by Industry in Money Fund Fight"
November 20, 2012 - Joan Ohlbaum Swirsky Discusses Money Market Fund Uncertainty with Ignites
"Rates Push Dreyfus, Pyxis to Trim Money Funds"
November 12, 2012 - Bruce Leto Discusses Proxy Voting in Board IQ
"MFDF Issues Proxy Voting Guidelines for Fund Boards"
November 6, 2012 - Joan Ohlbaum Swirsky Discusses New Regulations and their Effects on Money Market Funds in Ignites
"Industry Fights New Money Fund Threat"
October 25, 2012 - Joan Ohlbaum Swirsky Quoted in Reuters on Money Fund Reforms
"SEC Commissioners Dig In Over Money Fund Reforms"
August 29, 2012 - Joan Ohlbaum Swirsky Quoted in SNL Financial
"FSOC, Fed on Deck After Money Market Reform Hits Roadblock at SEC"
August 27, 2012 - Michael Mundt quoted in The Street
"As ETFs Evolve, New Species Emerge"
August 2, 2012 - Joan Ohlbaum Swirsky quoted in Money Market Insight (PDF)
"Most Top Holders of Euro-Zone Debt Hike Investment Totals"
July 16, 2012 - Michael W. Mundt quoted in Money Executive Management
"WANTED: 220 to Oversee $44 Trillion"
July 16, 2012 - Joan Ohlbaum Swirsky quoted in Compliance Intelligence
"Money Funds Latest: ICI Reports, Schapiro Testifies"
June 25, 2012 - Joan Ohlbaum Swirsky quoted in Money Market Insight (PDF)
"Setting: Atlanta, Target: Money-Market Funds"
May 11, 2012 - Joan Ohlbaum Swirsky was quoted in Barron's Cover
"Fidelity Joins Money-Fund Fray"
March 5, 2012 - Joan Ohlbaum Swirsky was quoted in Barron's Cover
"Broken Forever?"
January 9, 2012 - Joan Ohlbaum Swirsky quoted in Crane Data
"House Subcommittee Cautions, Questions SEC's Shapiro on Floating NAV"
August 17, 2011 - Joan Ohlbaum Swirsky quoted in Fund Action
"Money Funds Brace For Worst-Case Scenario"
July 29, 2011 - Joan Ohlbaum Swirsky quoted in Reuters
"Exclusive: Fed president hints at broad money-market fix"
July 26, 2011 - Joan Ohlbaum Swirsky quoted in Bloomberg
"Once-Safe U.S. Money Funds Face Uncertain Future: One Year Later"
July 19, 2011 - Chris Zimmerman quoted in Fund Directions
"JUST SAY NO: CFTC Roundtable Says No To Trustees As CPOs"
July 18, 2011 - Bruce Leto quoted in Fund Directions
"HANG TEN! Securities Lending Tries To Catch A New Wave"
June 22, 2011 - Larry Stadulis quoted in ComplianceE-News
"New Form ADV Rule Conflicts with Old No-Action Letter for Fee Disclosures for Qualified Purchasers"
May 31, 2011 - Lawrence Stadulis quoted in Investment News
"Ramped up SEC enforcement targets fund industry"
March 30, 2011 - Lawrence Stadulis quoted in onwallstreet
"SEC Set to Deliver "Trouble with a Capital T""
March 30, 2011 - Joan Ohlbaum Swirsky quoted in Money Market Insight
"SEC Revisits Removing Credit-Rating References from MMF Rules"
March 2011 - Joan Ohlbaum Swirsky quoted in Fund Directions
"SEC Proposing Removal of Credit Rating References"
March 2, 2011 - Joan Ohlbaum Swirsky quoted in Bloomberg
"Money Funds Get 'Micro Bailouts' as Disclosure Rules Take Effect"
November 9, 2010 - Joan Ohlbaum Swirsky quoted in Wall Street Journal
"Money-Fund Shakeout Bubbles Up"
October 26, 2010 - Joan Ohlbaum Swirsky quoted in Fund Directions
"SEC to Boards: Hold Off on NRSRO Designations"
September 2010 - Joan Ohlbaum Swirsky quoted in Money Market Insight
"SEC Looks at New Law's Potential Impact on Money Fund Rules"
August 16, 2010 - John Baker quoted in Fund Action
"Fund Snitches to be Paid by SEC"
July 23, 2010 - Joan Ohlbaum Swirsky quoted in Fund Action
"Look Out Money Funds! Banks Will Compete on Rates"
July 21, 2010 - John Baker quoted in Inside Counsel
"Anatomy of a Circuit Split: Jones v. Harris Associates reached the Supreme Court after a showdown between two of the most well known judges on the 7th Circuit"
June 1, 2010 - Bruce Leto pictured in Fund Directions
"Distribution Regaining Focus"
March 1, 2010 - John Baker quoted in CBS Moneywatch
"Chalk One Up for Mutual Fund Investors"
March 1, 2010 - Joan Ohlbaum Swirsky quoted in Money Fund Intelligence
"Quotes on the Money Market Fund Business"
March 1, 2010
Recent Events: Archived Events: - Fundamentals of the Foreign Corrupt Practices Act
January 29, 2013
Presenters: Thomas L. Hanley, Gregory D. DiMeglio - IMG Legal Update
January 8, 2012
Moderator: John M. Baker - 60-MINUTE WEBINAR: The Brave New World of Centrally Cleared Swaps – Are You Ready?
Wednesday, October 10, 2012
Moderator: Ruth S. Epstein - Legal Update: Mutual Funds and Investment Management Issues
July 24, 2012
Moderator: John M. Baker - Philadelphia Bar Association Luncheon
ETFs: Current Legal Landscape
April 19, 2012
Presenter: Michael W. Mundt - Using Social Media: Practical and Legal Considerations for Investment Advisers
February 28, 2012
Presenters: Ruth S. Epstein, Peter M. Hong, Aaron T. Gilbride - Legal Issues Impacting the Use of Social Media to Market Investment Management Services
January 19, 2012
Speakers: Peter M. Hong, Lawrence P. Stadulis - Prospectus Disclosure Liability — Have the Risks Changed?
December 15, 2011 - Investment Adviser M&A Strategies and Succession Planning
October 27, 2011
Presenters: John C. Hook, Michael P. O'Hare - Investment Adviser M&A Strategies and Succession Planning
October 06, 2011
Presenters: Matthew R. DiClemente, Michael P. O'Hare, Joshua N. Silverstein - Investment Adviser M&A Strategies and Succession Planning
September 22, 2011
Presenters: Michael P. O'Hare, Joshua N. Silverstein - Legal Update: Mutual Funds and Investment Management Issues
July 12, 2011
Moderator: John M. Baker - ICI General Membership Meeting - Legal Forum: "The Effect of Dodd-Frank and Other Recent Developments on the Regulation of Money Market Funds"
May 5, 2011
Presenter: Joan Ohlbaum Swirsky - Private Equity & Venture Capital Fund Adviser Regulation Seminar
April 14, 2011
Panelists: Matthew R. DiClemente, Lawrence P. Stadulis - Legal Update: Mutual Funds and Investment Management Issues
March 15, 2011
Speaker: John M. Baker - Legal Update: Mutual Funds and Investment Management Issues
December 14, 2010
Moderator: John M. Baker - Insurance Issues for Mutual Funds
October 27, 2010 - The Dodd-Frank Act: What Is the Fallout for the Investment Management Industry?
Summer 2010
Presenters: John M. Baker, Alan R. Gedrich, Joan Ohlbaum Swirsky - Legal Update: Revisions to Form ADV, The SEC's New Pay to Play Rule, Proposed Reforms to Rule 12b-1 and Fund Use and Disclosure of Derivatives
August 24, 2010 - A Practical Approach to the Mutual Fund Advisory Agreement Renewal Process
June 23, 2010 - Investing in ETFs: Compliance Issues for Mutual Funds
April 14, 2010
Panelists: Michael D. Mabry, Fabio Battaglia III, - Legal Update: Mutual Funds and Investment Management Issues
March 04, 2010
Moderator: John M. Baker - Attorney-Client and Attorney Work Product Privilege During SEC Examinations: Practice and Ethics Issues for In-House Counsel
September 30, 2009
Panelists: Paula D. Shaffner, Rachel Tausend, - Mutual Funds Mergers, Reorganizations & Liquidations (Rebroadcast of May 2009 seminar)
August 19, 2009
Speakers: , Matthew R. DiClemente, Kenneth L. Greenberg, Jonathan M. Kopcsik, William S. Pilling III - Legal Update: Mutual Funds and Investment Management Issues
August 18, 2009
Moderator: John M. Baker - Mutual Fund and Investment Adviser Compliance Seminar
June 24, 2009
Panelists: , E. Carolan Berkley, Kenneth L. Greenberg, Michael D. Mabry, Lawrence P. Stadulis - Legal Update: Mutual Funds and Investment Management Issues
June 15, 2009
Presenters: John M. Baker, , Christopher J. Zimmerman, , - Mutual Funds Mergers, Reorganizations & Liquidations
May 07, 2009
Speakers: , Matthew R. DiClemente, Kenneth L. Greenberg, Jonathan M. Kopcsik, William S. Pilling III - PROTECTING YOUR ASSETS: Do You Know Whether Your Collateral Is Safe?
April 6, 2009
Speakers: Kevin P. Kundra, Deborah Hong - IIR and iMoneyNet's 11th Annual Money Market Expo
March 10 - 13, 2009
Presenter: Joan Ohlbaum Swirsky - PROTECTING YOUR ASSETS: Do You Know Whether Your Collateral Is Safe?
March 05, 2009
Panelists: , Alison M. Fuller, Deborah Hong, Kevin P. Kundra, Paul A. Patterson - Securities Investigations and Enforcement in Response to the Financial Crisis
January 29, 2009
Speaker: Gregory D. DiMeglio - Money Market Funds – Past, Present and Future
January 29, 2009
Speakers: , John M. Baker, Joan Ohlbaum Swirsky - 2008 Securities Law Developments Conference
December 15-16, 2008
Panelist: Bruce G. Leto - Legal Update: Mutual Funds and Investment Management Issues
December 10, 2008
Presenter: John M. Baker - Internal & Government Investigations Conference
January 16, 2008
Moderator: Gregory D. DiMeglio - PFPC Chief Compliance Officer Forum
January 15, 2008
Panelist: Michael P. O'Hare - Performance Measurement 101 for Marketing and Compliance Professionals
December 30, 2007
Presenter: Lawrence P. Stadulis - The 3rd Annual Managed Accounts Compliance Forum
July 16, 2007
Presenter: Lawrence P. Stadulis - Money Management Institute's Legal & Regulatory Affairs Conference
June 07, 2007
Presenter: Lawrence P. Stadulis - 2nd Annual Fund Governance Forum
June 07, 2007
Presenter: Peter M. Hong - The Rules of Marketing
May 08, 2007
Presenter: Lawrence P. Stadulis - 2007 Mutual Funds Compliance Programs Conference
April 19, 2007
Panelist: Lawrence P. Stadulis - Securities Industry and Financial Markets Association Compliance & Legal Division 2007 Annual Seminar
March 26, 2007
Panelist: Lawrence P. Stadulis - 2006 NSCP National Membership Meeting
October 18, 2006
Presenter: Lawrence P. Stadulis - Broker Dealer Week's 2006 Compliance Conference
October 16, 2006
Presenter: Lawrence P. Stadulis - NRS 21st Annual Fall Compliance Conference
October 06, 2006
Presenter: Lawrence P. Stadulis - Investment Company Institute’s 2006 Independent Counsel Roundtable
July 20, 2006
Moderator: Bruce G. Leto - Legal/Regulatory Affairs Conference for General Counsel and Chief Compliance Officers
June 06, 2006
Panelist: Lawrence P. Stadulis - National Regulatory Services’ 21st Annual Spring Compliance Conference
April 17, 2006
Presenter: Lawrence P. Stadulis - Investment Company Institute’s 2006 Mutual Funds and Investment Management Conference
March 19, 2006
Presenter: Bruce G. Leto
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