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Sutherland Partners Clifford E. Kirsch and Michael B. Koffler are speaking at PLI’s Fundamentals of Investment Adviser Regulation 2009, July 17, 2009, at the PLI New York Center in New York City. Cliff is chairperson of the event, and Michael is a member of the faculty. The faculty of practitioners and regulators, including current and former officials of the Securities and Exchange Commission and state securities regulators, will offer insights into recent rulemaking including the new anti-fraud rule, new SEC Compliance Alert letters and SEC guidance to assist advisers.
The Madoff scandal and the current financial crisis has put the regulation of investment advisers under the microscope, as well as in the front page headlines. At this day-long program, attendees will get a solid foundation in the regulatory regime applying to investment advisers. Attendees will learn how the Investment Advisers Act of 1940 and state securities laws interact in governing the advisory industry.
For more information and to register for this event, click here.