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Category Archives: Events

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MiFID II & PRIIPs – The Early Days

Posted in Events

Friday, February 23, 2018 Registration: 8:30 a.m. – 9:00 a.m. Workshop: 9:00 a.m. – 10:30 a.m. Risk.net Workshop One Moorgate Place Chartered Accountants Hall 1 Moorgate Pl London, United Kingdom EC2R 6EA The first few days of 2018 saw the implementation of two major pieces of EU legislation, MiFID II (comprising a new Markets in Financial… Read More

Tax Reform Webinar Series

Posted in Events

Wednesday, February 7, 14 and 21, 2018 1:00 p.m. – 2:00 p.m. EST Morrison & Foerster and Wolters Kluwer Webinar Series The Tax Cuts and Jobs Act of 2017 (H.R.1), signed into law by President Trump on December 22, 2017, is the most sweeping change to the U.S. tax code in decades. This historic bill… Read More

10th Annual Structured Products Association Legal, Regulatory & Compliance Update

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

Monday, February 5, 2018 6:00 p.m. – 8:30 p.m. Morrison & Foerster LLP 250 W 55th Street New York, NY 10019 The Structured Products Association and Morrison & Foerster are pleased to host this annual Legal, Regulatory & Compliance Update for friends, clients and members on February 5, 2018. Join us for a timely presentation… Read More

Complimentary Teleconference – Financing Fintech: State Regulation of Marketplace Lenders as Loan Brokers or Arrangers of Credit

Posted in Events

Thursday, January 25, 2018 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: This call will be an operator-assisted call of approximately 45 minutes in duration, and will be followed by a brief Q&A opportunity. We also invite you to submit… Read More

2017 IIA Compliance Workshop – Denver

Posted in Events

Thursday, November 30, 2017 9:15 a.m. – 2:00 p.m. MST Investment Advisor Association Seminar Westin Denver Downtown 672 Lawrence Street Denver, CO 80202 The IAA Compliance Workshops are an excellent opportunity to gain practical insights into challenging legal and regulatory issues facing SEC-registered investment advisers, and to meet compliance and legal professionals at other IAA… Read More

Mutual Fund Liquidity Risk Management

Posted in Events

Wednesday, October 18, 2017 Voltaire Advisors Breakfast Briefing The New York Athletic Club 180 Central Park South New York, NY 10019 Partner Jay Baris will participate in a panel discussion entitled “Operational & implementation Challenges for Funds & Advisers.” The expert panel will be speaking about operational challenges for fund managers. For more information, view… Read More

Complimentary Teleconference – Financing Fintech: ILC Charters

Posted in Events

Thursday, October 19, 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. Topics will include: What is an ILC?; What laws apply to an ILC and what laws don’t apply?; and How does it differ from an OCC Fintech Charter?… Read More

PLI Webinar – Shadow-Boxing in 2017: An Update on Shadow Banking Reform

Posted in Events, Fund Regulation

Tuesday, September 26, 2017 12:00 p.m. – 1:00 p.m. EDT 5:00 p.m. – 6:00 p.m. BST The Financial Stability Board has been spearheading a review of “shadow banking” entities and activities since the onset of the financial crisis.  Pursuant to the FSB’s work, many regulatory reforms have been introduced at both national and international level… Read More

Financial Markets Association’s Treasury and Capital Markets Legal and Legislative Issues Conference

Posted in Events

October 25-26, 2017 Hyatt Regency 400 New Jersey Ave., NW Washington, D.C. 20001 This day and a half conference is a valuable forum for banking and securities attorneys, senior compliance officers and regulators providing for an exchange of information, ideas and experiences on current hot topic regulatory and legislative/agency initiatives. The focus is on high-level… Read More

Teleconference: Canadian Bail-in and TLAC – Impact on Capital Markets Transactions

Posted in Events

Wednesday, September 13, 2017 11:00 a.m. – 12:00 p.m. EDT Morrison & Foerster and Osler, Hoskin & Harcourt Teleconference During this teleconference, the panelists will address the proposed Canadian federal rules relating to (a) Bank Recapitalization (Bail-in) Conversion Regulations and (b) Total Loss Absorbing Capacity (TLAC). These rules are expected to have a significant impact… Read More

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