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Category Archives: Events

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The Brattle Group and Morrison & Foerster Seminar – Core Principles for Financial Regulation

Posted in Events, Investment Adviser Regulation

Tuesday, September 12, 2017 8:30 a.m. – 10:00 a.m. Morrison & Foerster LLP 250 West 55th Street New York, NY 10019 Join us as presenters from Morrison & Foerster LLP and The Brattle Group share their views and predictions regarding: the Presidential Orders relating to deregulation; the Treasury Department’s initial report regarding the core principles… Read More

2017 Independent Counsel Roundtable

Posted in Events, Fund Independent Directors, Fund Regulation

Monday, July 24, 2017 Investment Company Institute 1401 H St. NW David Silver Conference Room Suite 1200 Washington, DC 20005 IDC and ICI will host the annual Independent Counsel Roundtable, an informal discussion on the issues most important to the independent director community. The following topics will be on the agenda—litigation, governance, data security, business… Read More

PLI Webinar – Packaged Retail and Insurance-based Investment Products: Final Preparations

Posted in Events

Wednesday, July 26, 2017 12:00 p.m. – 1:00 p.m. EDT After one false start, the PRIIPs Regulation will finally become effective at the beginning of 2018 and will herald a new approach for pre-contractual disclosure in the form of a Key Information Document (“KID”) in relation to retail packaged investment products.  The Regulation will impact upon… Read More

IFLR Webinar – Regulatory Burden Relief: What to Anticipate

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

Tuesday, July 25, 2017 10:00 a.m. – 11:30 a.m. EDT Join us as presenters share their views and predictions regarding: the Presidential Orders relating to deregulation; the Treasury Department’s initial report regarding the core principles of financial regulation; the Financial CHOICE Act and its principal provisions; the areas of regulatory reform as to which compromise… Read More

IFLR Webinar: Living with the DOL Fiduciary Rule

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

Wednesday, June 28, 2017 12:00 p.m. – 1:30 p.m. EDT The first phase of the Department of Labor’s (“DOL”) new fiduciary rule (“Fiduciary Rule”) was implemented on June 9, 2017. The Fiduciary Rule greatly expands the categories of persons who are deemed fiduciaries when dealing with retail retirement investors.  Many investment professionals will now be… Read More

Complimentary Teleconference – Keeping up with Regulatory Developments Affecting Social Media Use

Posted in Events, Investment Adviser Regulation

Thursday, June 15, 2017 12:00 p.m. – 1:00 p.m. EDT This session will focus on the considerations for issuers, broker-dealers, registered investment advisers, and commodity pools in using social media, whether for corporate communications or in the context of securities offerings. Topics of discussion will include: Reg FD and other liability concerns; FINRA guidance on… Read More

Complimentary Teleconference – The New Benchmark for Financial Transactions

Posted in Events

Tuesday, June 6, 2017 12:00 p.m. – 1:00 p.m. EDT 5:00 p.m. – 6:00 p.m. BST The date for implementation of the new EU Regulation on indices used as benchmarks in financial instruments is January 1, 2018, which is rapidly approaching. The new Regulation will have a major impact on securities or other financial contracts in… Read More

IFLR Webinar: Fintech 2017 – Models, Charters and More

Posted in Events

Thursday, May 25, 2017 10:00 a.m. – 11:30 a.m. EDT The webinar will discuss the current state of fintech services in the US, including state licensing requirements, bank partnership arrangements, and the potential for special purpose bank charters at both the state and federal levels. The presenters will also discuss the benefits and potential difficulties… Read More

Complimentary Teleconference – Financing Fintech: Distributed Ledger Technology

Posted in Events

Thursday, May 11, 2017 5:00 p.m. – 5:45 p.m. EDT Join us for one of our upcoming monthly telephone briefings led by members of our Fintech team. Topic: Distributed Ledger Technology This teleconference will discuss recent developments in distributed ledger technology including an overview of the Federal Reserve Board’s and Bank for International Settlements’ Committee on… Read More

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