Januar 25. 2024

SMAs, AMCs, and Other Actively Managed Products: US Legal Considerations


Financial products that provide structured returns and that often provide exposure to a range of asset classes while attempting to mitigate credit or other risks, including separately managed accounts, actively managed certificates and related products, have become more popular. These products may be issued in varying formats that may subject to different regulatory frameworks. Some products may be issued through special purpose entities or fund vehicles, and some may be subject to active management or be designed to replicate the returns associated with an actively managed strategy. In Europe and jurisdictions outside of the United States, these products may be subject to a number of regulations that differ from the regulations applicable to similar vehicles in the United States.

Join us for a discussion with Vestr on the growth of the market in Europe, and a conversation on the legal and regulatory considerations applicable to sales of such products into the United States and/or to U.S. persons, including those arising under the U.S. securities and other laws.

Additional Speakers

Ely Tolen
Stefan Wagner
Head Business Development

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