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Stradley Ronon's Investment Management Group Regulatory Update CLE Seminar

November 5, 2019

Bank of America Conference Center | Chicago, IL
135 S. LaSalle Street 43rd Floor Meeting Room
Chicago, Illinois 60603

Join Stradley Ronon's Investment Management Group for our annual seminar and discussion of new developments affecting the industry.

Program
  • Breakfast & Registration, 7:30 – 8:30 a.m.
  • Welcome, Alan P. Goldberg, 8:30 – 8:45 a.m.
  • SEC Enforcement/OCIE Developments, Gregory D. DiMeglio, 8:45 – 9:30 a.m. 
  • Investment Company & ETF Developments, Mark R. Greer & John M. Ekblad, 9:30 - 10:15 a.m.
  • Break, 10:15 – 10:30 a.m. 
  • Regulation BI/Form CRS/IA Interpretive Release, Alan P. Goldberg & Lawrence P. Stadulis, 10:30 – 11:30 a.m. 
  • Tax Issues Affecting the Investment Management Industry, Christopher C. Scarpa, 11:30 – 12:15 p.m. 
  • Lunch/Networking, 12:15 – 1:15 p.m.
  • Private Fund & CFTC Developments, Nicole M. Kalajian, 1:15 – 1:45 p.m. 
  • Closed-End Fund Update, Dave Glatz & Gabriella Leyhane 1:45 – 2:30 p.m.
  • Break, 2:30 - 2:45 p.m.
  • Proxy Voting Guidance from the SEC, Lawrence P. Stadulis & Alan P. Goldberg, 2:45 - 3:15 p.m.
  • Cybersecurity Issues Affecting the Financial Services Industry, Kristin J. Jones, 3:15 - 4:00 p.m.

Panelists:

Substantive CLE Credit Approved: 

  • Pennsylvania- 5.5 hours

Substantive CLE Credit Pending: 

  • Illinois- 5.75 hours
  • Wisconsin- 5.75 hours
  • Indiana- 5.75 hours

Register
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