InstructorTerri Hays
TypeOnline Course
PriceFree
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Tuition Options

myUniversity™

PracticeEdge Elite™

Standard Tuition $400

Senior Fellow Matthew Eisenberg, JD, Partner, Finn Dixon & Herling


This Course will discuss select areas of recent regulatory scrutiny by the SEC, with a focus on matters impacting investment fund managers. Topics to be discussed include: broker-dealer registration issues; liquid alternative products; fiduciary responsibilities and conflicts of interest; and cyber security. Session participants include David Blass, Chief Counsel of the SEC’s division of Trading and Markets, as well as the general counsel and chief compliance officers of a number of blue chip investment managers and a senior partner from a prominent investment management law firm.

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LEARNING OBJECTIVES

FACULTY

CREDIT INFO

ACCREDITATION

Students shall learn the following within this Course:

  • General update on Division of Trading and Markets
  • SEC consideration of market access rules
  • Issues regarding algorithmic and high frequency trading (HFT)
  • Large trader reporting
  • Regulation M, Rule 105
  • JOBS Act
  • Investing/trading activities of investment advisers that could implicate broker-dealer registration requirements
  • Competitive jurisdictional landscape
  • Recent Bermuda legislative and regulatory initiatives and developments
  • Entering the space – from a private fund manager’s perspective
  • Use of leverage
  • Issues with multiple product types investing in the same securities
  • Heightened Scrutiny by SEC of Fiduciary Responsibilities
  • Disclosure practices
  • Allocations
  • Expenses
  • Investment opportunities
  • Use of leverage
  • Side letters
  • Clients with different fee arrangements
  • Employee / personnel compensation arrangements
  • AIFMD – Approaches to compliance; “Reverse solicitations”; Platform vs. direct marketing
  • NFA Proposed Capital Requirements for CPOs/CTAs

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Senior Fellow:

Matthew Eisenberg, JD, Partner, Finn Dixon & Herling

Guest Lecturers:
David Blass, Chief Counsel, Trading & Markets SEC
Brendan Kalb, JD, General Counsel, AQR Capital Management
Scott Pomfret, JD, CCO, Highfields Capital Management
Shelby Weldon, Director of Licensing & Authorization, Bermuda Monetary Authority
Forest Wolfe, JD, CCO and General Counsel, Angelo, Gordon & Co.

 

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Accreditation Information

CLE Information

Credit Hours: 2
Subject Area: Professional Practice
States: Contact Curriculum Advisor For More Information

CPE Information

Credit Hours: 3.5
Subject Area: Accounting
States: Contact Curriculum Advisor For More Information

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On-Demand Web Programs and Segments are approved in:

Alabama1, Alaska, California, Colorado, Delaware, Florida, Georgia, Hawaii, Idaho*, Illinois , Iowa2*, Kansas, Kentucky*, Louisiana, Maine*, Mississippi, Missouri3, Montana, Nebraska, Nevada, New Hampshire4, New Jersey, New Mexico5, New York6,  North Carolina7, North Dakota, Ohio8, Oklahoma9, Oregon*, Pennsylvania10, Rhode Island11, South Carolina, Tennessee12, Texas, Utah, Vermont, Virginia13, Washington, West Virginia, Wisconsin14and Wyoming*.

Iowa, Mississippi, Oklahoma, and Wisconsin DO NOT approve Audio Only On-Demand Web Programs.

Please Note: The State Bar of Arizona does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement. RCA programs may qualify for credit based on the requirements outlined in the MCLE Regulations and Ariz. R. Sup. Ct. Rule 45.

*RCA will apply for credit upon request. Louisiana and New Hampshire: RCA will apply for credit upon request for audio-only on-demand web programs.

1Alabama: Approval of all web based programs is limited to a maximum of 6.0 credits.
2Iowa:  The approval is for one year from recorded date. Does not approve of Audio-only On-Demand Webcasts.

3Missouri:  On-demand web programs are restricted to six hours of self-study credit per year.  Self-study may not be used to satisfy the ethics requirements.  Self-study can not be used for carryover credit.

4New Hamphsire:  The approval is for three years from recorded date.

5New Mexico:  On-Demand web programs are restricted to 4.0 self-study credits per year. 

 

6New York:  Newly admitted attorneys may not take non-traditional course formats such as on-demand Web Programs or live Webcasts for CLE credit. Newly admitted attorneys not practicing law in the United States, however, may earn 12 transitional credits in non-traditional formats.

7North Carolina:  A maximum of 4 credits per reporting period may be earned by participating in on-demand web programs. 

 

8Ohio:  To confirm that the web program has been approved, please refer to the list of Ohio’s Approved Self Study Activities at http://www.sconet.state.oh.us.  Online programs are considered self-study.  Ohio attorneys have a 6 credit self-study limit per compliance period.  The Ohio CLE Board states that attorneys must have a 100% success rate in clicking on timestamps to receive ANY CLE credit for an online program.

9Oklahoma:  Up to 6 credits may be earned each year through computer-based or technology-based legal education programs.

 

10Pennsylvania:  PA attorneys may only receive a maximum of four (4) hours of distance learning credit per compliance period. All distance learning programs must be a minimum of 1 full hour.

11Rhode Island:  Audio Only On-Demand Web Programs are not approved for credit.  On-Demand Web Programs must have an audio and video component.

12Tennessee:  The approval is for the calendar year in which the live program was presented.

13Virginia: All distance learning courses are to be done in an educational setting, free from distractions.

14Wisconsin: Ethics credit is not allowed.  The ethics portion of the program will be approved for general credit.  There is a 10 credit limit for on-demand web programs during every 2-year reporting period.  Does not approve of Audio-only On-Demand Webcasts.

 

Running time and CLE credit hours are not necessarily the same. Please be aware that many states do not permit credit for luncheon and keynote speakers.


If you have already received credit for attending some or the entire program, please be aware that state administrators do not permit you to accrue additional credit for repeat viewing even if an additional credit certificate is subsequently issued.