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Category Archives: Events

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Unit Investment Trusts and Structured UITs – May 4

Posted in Events, Unit Investment Trusts

Thursday, May 4, 2017 8:30 a.m. – 9:30 a.m. Morrison & Foerster LLP 250 West 55th Street New York, NY 10019 Alaia Capital & Morrison & Foerster Seminar A unit investment trust, or UIT, is a type of registered investment company under the Investment Company Act of 1940, in which a portfolio of stocks, bonds or… Read More

Toronto Seminar Series – April 4

Posted in Events

Tuesday, April 4, 2017 10:30 a.m. – 1:30 p.m. The Fairmont Royal York 100 Front Street West Toronto, ON M5J 1E3 Canada We invite you to join us for a series of presentations addressing the following: The U.S. Federal Reserve Board’s final long-term debt, TLAC and clean holding company rules and changes impacting capital-raising by… Read More

Complimentary Teleconference: Current Practices and Issues for Foreign Broker-Dealers Under Rule 15a-6 in 2017

Posted in Broker-Dealer Regulation, Events

In an increasingly globalized securities market, Rule 15a-6 remains the primary avenue for foreign broker-dealers to conduct business in the United States. This presentation will address the requirements for compliance by foreign broker-dealers and their U.S. affiliates. Tuesday, March 28, 2017, 1:00 p.m. – 2:00 p.m. EDT To register, e-mail CMG-events@mofo.com. Topics Will Include: Summary of… Read More

ALI CLE Webinar: SEC in 2017 – What’s Next? SEC Veterans Weigh In

Posted in Enforcement, Events

Thursday, March 9, 2017 12:30 p.m. – 2:00 p.m. EST As the Trump Administration takes charge in 2017, the only thing that seems inevitable is that the regulatory and enforcement outlook will change. Initial indications point to a desire to relax or repeal certain regulations that may be regarded as burdensome to public companies. Also, proposed… Read More

Unintended Consequences of Financial Services Reform

Posted in Broker-Dealer Regulation, Events, Investment Adviser Regulation

Thursday, February 16, 2017 4:15 p.m. – 7:30 p.m. Thomson Reuters 3 Times Square New York, New York 10036 The Center for Financial Services at the College of Business and Economics at Lehigh University will present a panel discussion of the unintended consequences of financial reform in New York City on February 16, 2017. In… Read More

7th Annual Financial Services, Regulatory and Compliance Conference

Posted in Broker-Dealer Regulation, Cybersecurity/Privacy, Events, Fund Regulation

Wednesday, March 8, 2017 Morning Sessions: 8:45 a.m. – 12:30 p.m. EST Afternoon Sessions: 1:30 p.m. – 5:15 p.m. EST The Ritz-Carlton Charlotte 201 East Trade Street Charlotte, NC 28202 Please join Morrison & Foerster attorneys as we offer our insights regarding the future of financial services regulation. The morning sessions will focus on consumer… Read More

Fed’s Final TLAC Rule

Posted in Events

Monday, December 19, 2016 4:15 p.m. – 4:45 p.m. EST On December 15, 2016, the Federal Reserve Board will hold an open meeting to consider and approval the final rules relating to a long-term debt, total loss absorbing capacity (TLAC), and clean holding company requirement.  The long-awaited final rules will have important effects for U.S…. Read More

Morrison & Foerster Sponsorship: Structured Products Europe Conference 2016

Posted in Events, Fund Regulation

Thursday, November 17, 2016 8:30 a.m.  – 6:00 p.m. The May Fair Hotel Stratton Street London, United Kingdom W1J 8LT The 12th annual Structured Products Europe conference will bring together top UK and European senior executives from investment banks, regulators, private bankers, issuers, index providers, asset managers, IFAs, pension funds and insurance companies. The conference… Read More

The Future of Financial Regulation

Posted in Events, Fund Regulation, Investment Adviser Regulation

Wednesday, November 16, 2016 10:00 a.m. – 3:00 p.m. EST The Smith Suite at the Ronald Reagan Building 1300 Pennsylvania Avenue NW Washington, D.C. 20004 Join the CFP, CFA Institute and Morrison & Foerster for this half-day conference that will examine the potential post-election changes to the financial regulatory system, including changes to the Dodd-Frank… Read More

Morrison & Foerster Sponsorship: Structured Products Washington Conference 2016

Posted in Broker-Dealer Regulation, Enforcement, Events

Wednesday, November 9, 2016 9:30 a.m. – 3:40 p.m. The Washington Court Hotel 525 New Jersey Avenue NW Washington, DC 20001 The 4th annual Structured Products Washington D.C. conference will be on November 9th. Speakers will address: The Department of Labor’s Fiduciary Duty Rule and structured products; Disclosure practices, new product approval, post-sale review, conflicts of… Read More

Canadian Derivatives and Financial Services Regulatory Developments

Posted in Events, Fund Regulation

Thursday, November 10, 2016 8:30 a.m. – 10:00 a.m. Morrison & Foerster LLP 250 West 55th Street New York, NY 10019 Join a panel of experts from Stikeman Elliott LLP for a presentation and an engaged discussion of Canadian regulatory and legal developments affecting trading in derivatives with financial institutions, public mutual funds and other Canadian… Read More

FINRA Rule 2210 – Communications with the Public

Posted in Events, FINRA Enforcement

Thursday, October 20, 2016 12:00 p.m. – 1:00 p.m. EDT The FINRA communications rule governs all aspects of communications by member firms. FINRA is in the process of amending Rule 2210. In this teleconference, we will discuss: Upcoming amendments to Rule 2210; The scope of Rule 2210; FINRA enforcement actions relating to communications; and Social… Read More

Derivatives Regulation Update: Latest U.S. Developments

Posted in Events

Tuesday, October 18, 2016 12:00 p.m. – 1:30 p.m. EDT In this session, we will review the latest developments in U.S. derivatives regulation, including: CFTC De Minimis Exception Developments; Uncleared Swaps Margin Rules Update; CFTC Position Limits Supplemental Proposal; CFTC Proposed Rules Regarding Registration Relief for Certain Foreign Persons and Annual Reports for Commodity Pool… Read More

From MAD to MAR – The New EU Market Abuse Regime

Posted in Events

Thursday, October 13, 2016 12:00 p.m. – 1:00 p.m. EDT The coming into force of the EU’s Market Abuse Regulation in July 2016 introduced many new obligations for issuers and arrangers of capital instruments, as well as changes to existing practices. The offences relating to insider dealing, “tipping off” and market abuse look familiar, but… Read More

Update on Regulatory and Legal Issues Affecting European Structured Products Issuances

Posted in Events

Thursday, August 18, 2016 Registration/Breakfast: 8:00 a.m. EDT Seminar: 8:30 a.m. – 9:30 a.m. EDT Morrison & Foerster LLP 250 West 55th Street New York, NY 10019 This presentation will give an update of legal and regulatory issues that are currently of particular significance in relation to structured products issuances in Europe including: Impact of… Read More

Master Class – Index Regulation and Outsourcing Index Administration

Posted in Events

Thursday, July 28, 2016 Registration/Breakfast: 8:00 a.m. EDT Seminar: 8:30 a.m. – 9:30 a.m. EDT Morrison & Foerster LLP 250 West 55th Street New York, NY 10019 Please join Morrison & Foerster and Markit at our Master Class in New York City. With the increased regulation of benchmark indices and index governance in Europe, market… Read More

Shining a Light on the SFT Regulation and an Update on Shadow Banking Reform

Posted in Events

Tuesday, May 24, 2016 12:00 p.m. – 1:00 p.m. EDT The Financial Stability Board has been spearheading a review of “shadow banking” entities and activities since the onset of the financial crisis. A key element of its work has been assessing the financial stability risks and strengthening regulation of securities lending and repo transactions. In… Read More

Financial Regulatory Briefing

Posted in Broker-Dealer Regulation, Events, Fund Regulation

Thursday, June 2, 2016 Registration/Breakfast: 8:00 a.m. EDT Morrison & Foerster LLP 250 West 55th Street New York, NY 10019 Please join Morrison & Foerster attorneys at our Financial Regulatory Briefing in New York City. Agenda: The SEC’s Focus on the Use of Derivatives by Funds 8:30 a.m. to 9:30 a.m. Asset Management and Financial… Read More

SIFMA Complex Products Forum

Posted in Events

The Complex Products Forum is a collaborative event that brings together regulators, distributors, and manufacturers to discuss the issues, challenges, and opportunities related to the sale of complex products to retail investors. Partner Anna T. Pinedo will moderate a panel entitled “Complex Products: Changing Regulatory Focus.” This session will emphasize the importance customer suitability, financial… Read More

Implications of the DOL Fiduciary Rule for Structured Products

Posted in Broker-Dealer Regulation, Events

The new Department of Labor rules will substantially impact the sale of a variety of investment products.  In the following May 2016 article, we discuss how the rule will affect the market for structured products: http://www.mofo.com/~/media/Files/Newsletter/2016/05/160504StructuredThoughts.pdf. On May 4, 2016, Partner Paul Borden and Senior of Counsel Hillel Cohn hosted a teleconference session entitled “Final… Read More