Upcoming Webinars

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Upcoming IAA Webinars

The IAA Webinar Series covers critical topics of special interest to SEC-registered investment advisers. Following are descriptions of our upcoming webinars:

Wednesday, May 15, 2019

2:00 - 3:00pm ET

Moving Beyond Share Class Conflicts

Recently, the SEC Enforcement has put the spotlight on share class selection issues with announced settlements with 79 investment advisers arising from the agency’s Share Class Selection Disclosure Initiative. More settlements are expected.

But advisers should also be mindful of issues stemming from other, similar types of conflicts of interest that are likely to next attract the SEC’s attention.

In this webinar, the IAA Associate General Counsel Sanjay Lamba will be joined by WilmerHale partners Amy Doberman and Gretchen Roin to discuss issues relating to share class selection, revenue sharing and other financial arrangements – including issues arising from affiliations with banks and insurance companies. In addition, the speakers will discuss other core areas of SEC focus, including issues relating to fee and expense billing.

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Wednesday, June 5, 2019

2:00 - 3:00pm ET

Hot Topics in NFA Regulation for Asset Manager CPOs and CTAs

Learn about the latest NFA compliance issues for asset managers that are also CFTC-registered commodity pool operators (CPOs) and commodity trading advisors (CTAs). The panelists will discuss compliance with: (1) new NFA rules requiring CPO Internal Controls, (2) new Swaps Proficiency Requirements for registered associated persons (APs) of CPOs and CTAs, and (3) amended Information Security Systems Program (ISSP) requirements related to cybersecurity incidents. Hear also about key NFA exam findings and considerations for CPOs and CTAs.

Our panel includes:

  • Patricia L. Cushing, a Director of Compliance at National Futures Association (NFA). Cushing has served as a primary liaison between NFA and the CFTC in the development of rules affecting CTAs and CPOs.
  • Cary J. Meer is a partner in K&L Gates’ Washington, D.C. and New York offices and a member of the Investment Management and Hedge Fund practice groups.
  • Monique S. Botkin is an IAA Associate General Counsel. Prior to joining the IAA, Ms. Botkin was an associate in the financial services groups at Dechert LLP and Alston & Bird LLP.  Ms. Botkin also served as an attorney in the SEC’s Division of Investment Management.  

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Friday, June 7, 2019

2:00 - 3:00pm ET

Privacy, Please! Preparing for Data Privacy Law Changes at the Federal, State and Global Levels

Get up to speed on data privacy law developments affecting investment advisers at the federal, state, and global levels, including:

  • Approaches to compliance with the California Consumer Privacy Act of 2018.
  • What the Gramm-Leach-Bliley Act exemption for financial institutions under the CCPA does – and doesn’t – cover.
  • Where other state laws and legislative efforts stand.
  • Prospects for new federal privacy legislation.
  • How the SEC is increasing the stakes for data protection.
  • What investment advisers need to know about the CLOUD Act.
  • Non-U.S. privacy law developments, including outstanding EU GDPR implementation issues, the forthcoming EU ePrivacy rules, and other jurisdictions to watch.
  • Practical ways to approach compliance with evolving global rules.

This webinar’s panel includes:

  • Edward R. McNicholas, partner at Ropes & Gray LLP and head of the firm’s Privacy and Cybersecurity practice.  Recognized by the National Law Journal as a “Cybersecurity & Data Privacy Trailblazer,” he has significant experience with investigations and class action litigation related to cybersecurity incidnts.  
  • Colleen Theresa Brown, a partner at Sidley Austin LLP, has significant counseling and litigation experience related to privacy and data protection matters. She is also the chief editor of Data Matters: The Sidley Austin Cybersecurity, Privacy, Data Protection, Internet Law and Policy
  • David Milstein is a Managing Director in Guggenheim Partners, LLC’s Legal department and serves as the firm’s privacy officer and as the Head of Legal Technology. Previously, David was an IT specialist by the Administrative Office of the US Courts.
  • Laura L. Grossman is an IAA Associate General Counsel. Laura’s areas of focus include cybersecurity, privacy, and custody.

Register Now