| The Global Challenge in Investment Management.
Regulatory and Legal Issues
Please Note: This course has already
been held.
Date: Friday, April 19, 2002
Location: Suffolk University Law School, 120 Tremont St., Boston, MA
Time: 08:30 AM - 04:30 PM
Faculty
Schedule/Agenda
Registration Information
Unable to attend but are interested in the course materials?
Purchase Here! |
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Geoffrey R.T. Kenyon
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Goodwin Procter LLP, Boston, MA |
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Robert W. Helm
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Dechert Price & Rhodes, Washington, DC |
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Sarah A. Buescher
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The Vanguard Group, Malvern, PA |
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James F. DesMarais
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MFS Investment Management, Boston, MA |
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Roger P. Joseph
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Bingham Dana LLP, Boston, MA |
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Kenneth J. Berman
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Debevoise & Plimpton, Washington, DC |
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Diane E. Ambler
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Kirkpatrick & Lockhart LLP, Washington, DC |
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John Hunt
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CDC Ixis Asset Management North America, Boston, MA |
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David C. Phelan
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Hale and Dorr LLP, Boston, MA |
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Paul F. Roye
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Director, Division of Investment Management, U.S. Securities & Exchange Commission, Washington, DC |
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David Kenmir
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Investment Firms Division, Financial Services Authority, United Kingdom |
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David C. Mahaffey
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Sullivan & Worcester LLP, Washington, DC |
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Sharon B. Morin
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State Street Corporation, Boston, MA |
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Patricia B. Norris
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PricewaterhouseCoopers, Boston, MA |
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Joseph G. Mari
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Fidelity Management & Research Company, Boston, MA |
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Peter A. Ambrosini
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State Street Global Advisors, Boston, MA |
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Elizabeth R. Krentzman
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Deloitte & Touche, LLP, Washington, DC |
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Carol A. Watson
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Manes & Watson, Los Angeles, CA |
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| S C H E D U L E / A G E N D A |
| 8:30 |
Welcome |
Professor Joseph A. Franco
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| 8:45 |
Global Investment Management |
- What does global investment management mean?
- Building blocks for global investment management: structuring vehicles and advisory relationships
Geoffrey R.T. Kenyon, Esq.
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| 9:20 |
Going Abroad: U.S. Managers and the International Marketplace |
- Foreign Clients and the U.S. Securities Laws
- U.S. Managers and Local Market Regulation
- Foreign Distribution: Can I Sell Them My U.S. Funds? Aspiration Versus Reality
- The Role of Joint Ventures and Strategic Partnerships
Robert W. Helm, Esq.
Sarah A. Buescher, Esq.
James F. DesMarais, Esq.
Roger P. Joseph, Esq.
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| 10:55 |
Coming to America: Foreign Managers and Products in the U.S. Marketplace |
- U.S. Regulation of Foreign Managers
- Section 7(d): The Obstacle to Direct Access
- Private Placements, Mirror Funds & Other Structures
- Acquisition of U.S. Managers
Kenneth J. Berman, Esq.
Diane E. Ambler, Esq.
John Hunt, Esq.
David C. Phelan, Esq.
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| 12:25 |
Perspectives on Regulatory Harmonization in Global Investment Management: Convergence or Parallel Movement |
| Perhaps the single greatest challenge in operating globally is satisfying the differing regulatory obligations of many jurisdictions. Multinational financial firms seek to eliminate national obstacles to their cross-border financial operation. Pressure has been focused on the role of the regulator. What strategies are available to regulators to ease artificial restrictions on global investment management services? What strategies does the private sector believe need to be explored? This luncheon program offers both U.S. and U.K. perspectives on these issues.
Paul F. Roye
David Kenmir
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| 2:10 |
The Trials and Tribulations of U.S. Managers Investing Abroad |
- Custody
- Portfolio Pricing and Liquidity Issues
- Navigating Local Trading Markets
- The Role of Fund Boards in Overseeing Foreign Investments
David C. Mahaffey, Esq.
Sharon B. Morin, Esq.
Patricia B. Norris, CPA
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| 3:25 |
Instituting a Global Compliance Regime |
- Building a Successful Global Compliance Program
- Coordination of Compliance Functions Across Countries
- Tailoring Global Programs to Local Markets: Insider Trading, Affiliated Transactions, Code of Ethics and Personal Trading, E-commerce, Privacy, Money Laundering
Joseph G. Mari, Esq.
Peter A. Ambrosini, Esq.
Elizabeth R. Krentzman
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| 4:30 |
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test agenda faculty
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| Date: |
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Friday, April 19, 2002 |
| Walk-Ins: |
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none
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| Refunds: |
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meep eehu
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| Location: |
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Suffolk University Law School, 120 Tremont St., Boston, MA
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| Credit: |
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Test" test
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Special
Needs: |
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che k
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Directions to the Law School.
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Unable to attend but are interested in the course materials?
Purchase Here! |
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|
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