ALI-ABA Presents Investment Company Compliance In Washington, DC

Monday, May 3, 2010 - 01:00

On Thursday and Friday, June 3 and 4, the American Law Institute-American Bar Association will present a two-day program examining Investment Company Regulation and Compliance.

The conference is located at the Hilton Washington Embassy Row, 2015 Massachusetts Avenue, NW, Washington, DC. It will run from 8:25 a.m. until 5:30 p.m. Thursday followed by a networking reception. On Friday, the sessions will begin at 8:00 a.m. and the conference will end at 5:30 p.m.

Funds, derivatives and other financial instruments have been making headlines for over a year, and this seminar will examine the latest developments in investment company regulation and compliance law.

Participants will hear from regulators, compliance professionals and experts in financial law. The keynote address will be presented by Andrew J. Donohue, the director of the U.S. Securities and Exchange Commissions' Division of Investment Management.

Other topics will include guidance on recurring disclosure issues, compliance with advertising rules for funds, including electronic communications, regulatory and compliance issues accompanying the use of derivatives, and how to navigate SEC and FINRA fund adviser and broker-dealer compliance rules. Emerging trends in SEC enforcement actions and private litigation will be analyzed.

The presenters include Thomas S. Harman, Morgan, Lewis & Bockius LLP; Philip H. Newman, Goodwin Procter LLP; and Joseph P. Savage, vice president, Investment Companies Regulation, FINRA.

For information about available CLE credits and fees, visit CLE Events on The Metropolitan Corporate Counsel website at

To register, call (800) 253-6397 or visit