Insight Center: Webinars

Investment Management Roundtable: September 2017

Speakers: Gregory J. Nowak and Cassandre L. Juste

12:00 - 1:00 PM (ET)
Investment Management Roundtable: September 2017

Presented by West LegalEdcenter

Join Gregory J. Nowak, a partner and practice leader for hedge funds in Pepper Hamilton’s Funds Services Practice Group, for a series of candid, interactive discussions on what is going on now in the investment management world, including issues that affect private funds and their 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.

CLE credit available.



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