Investment Management and Hedge Funds: What's Happening Now?

Beer, wine and hors d'oeuvres will be served.

Join your host, Pepper Hamilton partner Gregory J. Nowak, for a thought-provoking, candid and informative discussion on issues affecting funds and investment managers. This month, Mr. Nowak, along with Pepper attorney Cassandre L. Juste, will provide a review of the “summer blockbusters” affecting the investment management and brokerage industries including:

• New form ADV effective October 1, 2017; the SEC is focusing in on compensation that is tied to solicitation of clients by your employees (among other issues)
• New FINRA licensing line-up and procedures
• The SEC’s focus on cryptocurrencies – The DAO Whitepaper
• Recent enforcement cases, including one against a CCO.

Location

Pepper Hamilton LLP
The New York Times Building
620 Eighth Avenue - 37th Floor
New York, NY 10018-1405

Registration

There is no cost to attend.