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7:30 a.m. to 8:30 a.m. - Breakfast & Registration |
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8:30 a.m. to 9:45 a.m.
- Morning Sessions |
-
Advisers Act Fundamentals, Part I
- Defining "Investment Adviser"
- Investment Adviser Registration Requirements
- SEC vs State Registration
- Advisers Act Basics (Form ADV, Compliance Manuals)
-
ERISA Fundamentals, Part I
- Defining "ERISA
Fiduciary"
- Basic ERISA Fiduciary Obligations
-
Defining "Plan Assets"
-
ERISA
Conflicts of Interest and Prohibited Transactions
-
Broker-Dealer Fundamentals
-
Defining "Broker" and "Dealer"
-
Broker-Dealer Registration Issues
-
Advisers Acting as Broker-Dealers -
Pitfalls to Avoid
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9:45 a.m. to 10:00 a.m. - Break |
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10:00 a.m. to 11:30 a.m. - Morning Sessions (continued) |
-
Advisers
Act Fundamentals, Part II
- Investment Advisory Agreement
Requirements
- Advertising Rules (including new Rule 206(4)-8 and RFPs)
-
Fiduciary
Obligations (Best Execution, Order Allocation, Soft Dollars)
-
ERISA Fundamentals, Part II
- Prohibited
Transaction Exemption Compliance
-
Investment Advice
for Participant-Directed Plans
-
Qualified Default
Investment Alternatives (QDIAs)
-
Investment Products
– Regulatory Fundamentals
- Private Funds
- Registered Funds
- Separate Accounts
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10:30 a.m. to 1:30 p.m. - Afternoon Session Registration |
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11:30 a.m. to 1:15 p.m. - Lunch with Speakers
"And Now for the Rest of the World . . ."
Nicholas Kynoch, Mayer Brown International, London
Sara Or, Mayer Brown JSM, Hong Kong |
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1:30 p.m. to 4:30 p.m. - Afternoon Session |
-
1:30 p.m. to 2:30 p.m. - New Developments
for Advisers
-
2:30 p.m. to 3:30 p.m. -
New ERISA Developments - Focus on Gifts, Entertainment and Fees
-
3:30 p.m. to 4:30 p.m.
- Enforcement and
Litigation Trends
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4:30 p.m. - End of Conference |
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4:30 p.m. to 6:00 p.m. - Cocktail Reception for
Attendees and Speakers |
