PLI New York Center

Why you should attend

The explosion of new financial products over the past decade, the implosion of the credit markets and the resulting significant new regulatory requirements under Dodd-Frank underline the importance of a basic understanding of financial products. While these instruments have been, in the view of many, invaluable investment tools, and have presented enormous potential for product manufacturers and investors, they also create potentially significant legal risks and challenges for their promoters, users, legal counsel and regulators. This seminar is designed as a hands-on learning tool to explain the fundamentals that you need to know when dealing with the more common financial investment products in the marketplace today.

What you will learn

  • What the future holds for financial products, in light of the Dodd-Frank Act and the avalanche of regulatory actions resulting from it
  • How mutual funds, hedge funds and other private funds are structured, and recent regulatory initiatives affecting them
  • The current state of the asset-backed securities market
  • The emergence of new asset classes, including exchange traded funds, exchange traded notes and life settlements
  • The new regulatory regime for derivatives products, including an analysis of swap trading, clearing and trade reporting requirements
  • The significance of the SEC’s focus on mutual fund and exchange traded funds’ investments in derivatives
  • FINRA’s new suitability and know your customer rules
  • Key taxation and accounting considerations applicable to financial products

New York Partner, Stuart Litwin will speak on Day 1 on an afternoon panel entitled, “Securitized Products.” For more information and to register, please click here.