Investment Management 2023: Current Issues & Trends | Practising Law Institute (PLI) | 25 July 2023 | Practising Law Institute, 1177 6th Ave, New York, NY 10036, USA

Tailored to address current regulatory developments and everyday practice issues encountered by attorneys and other professionals in the investment management industry, this day and a half program will examine the SEC’s strategic agenda and new rules requirements along with the business trends of the day.

Attendees will be able to implement pragmatic best practices when working with particular funds and asset management, and will be able to approach client matters with a better understanding of Section 36(b) litigation. They will also have the opportunity to gain insight into the asset management business trends in both the United State and globally.

New this year is an in-depth examination of alternative 1940 Act investment products. Panelists will highlight the key legal and compliance takeaways of products such as interval funds, tender offer funds, and business development companies.

After completing this program, participants will be able to:
• Better understand the SEC’s new tailored shareholder report and advertising rules for investment companies
• Implement best practices for working with the SEC staff
• Have an improved understanding of products such as interval funds, tender-offer funds, and business development companies
• Apply lessons learned from pertinent Section 36(b) litigation and SEC enforcement actions
• Anticipate and identify the legal ethical considerations that arise in the investment management industry

Private fund attorneys, in house counsel, compliance officers, and others involved in issues affected by the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Commodity Exchange Act of 1974, ERISA, and other relevant laws.

2023 Speakers

CHAIRPERSONS:

Rajib Chanda
Administrative Partner, Simpson Thacher & Bartlett LLP

Anne C. Choe
Partner, Willkie Farr & Gallagher LLP

SPEAKERS:

Adam Aderton
Partner, Willkie Farr & Gallagher LLP

Jay G. Baris
Partner, Sidley Austin LLP

Marisa J. Beeney
Senior Managing Director, Legal & Compliance, The Blackstone Group

Nathan Briggs
Partner, Simpson Thacher & Bartlett LLP

Annette Capretta
Chief Counsel, Investment Company Institute

Christopher Carlson
Senior Counsel, US Securities and Exchange Commission

Christopher D. Christian
Partner, Dechert LLP

Andrew Dean
Assistant Regional Director - Asset Management Unit, Enforcement Division, U.S. Securities and Exchange Commission

Lisa C. Detwiler
Managing Director, General Counsel; Chief Compliance Officer, FS Investment Solutions, LLC; FS Investment Advisers

Melissa A. Gonzalez
Vice President, Corporate Counsel, PGIM Investments

James Hannigan
Managing Director, Product Development & Innovation, Apollo Global Management Inc.

Melissa R. Harke
Assistant Director, Investment Advisor Regulation Office, U.S. Securities and Exchange Commission

Diana Huffman
Director, BlackRock

Brian McLaughlin Johnson
Assistant Director, Investment Company Regulation Office, Division of Investment Management, U.S. Securities and Exchange Commission

Andrew M. Lawrence
Partner, Skadden, Arps, Slate, Meagher & Flom LLP

Susan Lively
General Counsel, Global X

Lori A. Martin
Partner, WilmerHale LLP

Maryellen Maurer
Senior Securities Compliance Examiner - Private Funds Unit, US Securities and Exchange Commission

Sean M. Murphy
Partner, Milbank LLP

Charles C.S. Park
Managing Director, Legal & Compliance, BlackRock Inc

Elizabeth J. Reza
Partner, Ropes & Gray LLP

Julie M. Riewe
Partner, Debevoise & Plimpton LLP

Nicole M. Runyan
Investment Funds Partner, Kirkland & Ellis LLP

Christine Ayako Schleppegrell
Partner, Morgan, Lewis & Bockius LLP

Gared S. Schneberger
Assistant General Counsel, Loomis, Sayles & Company

Miranda Sturgis
Partner, Stradley Ronon Stevens & Young LLP