Speaking Engagement - West Legalworks Investment Adviser Regulation Workshop

Morgan Lewis partners Ethan Johnson, Jennifer Klass, Adrienne Ward, and Ivan Harris will speak on "Investment Adviser Regulation: An A to Z Workshop."

Topics will include:

• Soft Dollar Arrangements
• Avoiding Personal and Insider Trading Problems
• Handling SEC Inspections
• Hedge Fund Compliance
• Managing Conflicts of Interest
• Ensuring Adequate Form ADV Disclosure
• Affective Compliance Programs

Learn the latest strategies for implementing and running an effective compliance program. With the changing nature of SEC routine inspections and heightened SEC scrutiny generally, this is a timely program for all investment advisers, whether they serve separate accounts, hedge funds, or investment companies. At this workshop, the senior legal faculty will walk you through all aspects of the compliance, highlighting key focus areas of the SEC including exams, special areas of priority, "red flags," typical problems they find, and how the issues are resolved.

When:
Tuesday, December 6

Where:
Hyatt Regency Miami
400 South East Second Avenue,
Miami, Florida 33131

To register, please visit the conference site.