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Insight Center: Events

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

Speaker: Gregory J. Nowak

10/10/2017
5:30 - 7:30 PM (PT)
Southern California Investment Management and Hedge Funds: What's Happening Now?

Join your host, Pepper Hamilton partner Gregory J. Nowak, for a thought-provoking, candid and informative discussion on issues affecting funds and investment managers.

Recent reports have noted that initial coin offerings (ICOs) have raised more investor capital than venture and angel investing combined since the beginning of 2017. The institutional investor community needs to understand this important new asset class. Mr. Nowak will discuss ICOs and the investments they spawn - what are they; what is the investment opportunity; can these be commingled in a fund; what are the risks to be aware of as an issuer, servicer, investor and exchange; and what have the SEC and other regulators ‎had to say?

Additionally, Mr. Nowak 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
  • Recent enforcement cases, including one against a CCO

There is no cost to attend. We encourage you to invite a friend from the industry!

Location

Pepper Hamilton's Los Angeles Office
Two California Plaza
350 South Grand Avenue, Suite 3400
Los Angeles, CA 90071-3427

Registration

Contact Kim MacAlister at macalisterk@pepperlaw.com or 215.981.4249 with any questions.

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