HomeWebcastAlternative Mutual Funds: Compliance and Risk Management in 2015 Explored!
Alternative Mutual Funds CLE/CPE CLE

Alternative Mutual Funds: Compliance and Risk Management in 2015 Explored!

Live Webcast Date: Wednesday, March 18, 2015 from 12:00 pm to 2:00 pm (ET)
Risk and Compliance CLE & CPERecording

Alternative Mutual Funds CLE/CPE

Join us for this Knowledge Group Alternative Mutual Funds CLE/CPE Webinar. There are numerous definitions of 'alternative mutual funds' (AMF). Some definitions include investment in gold, real estate, and other tangible assets. Investors hurt economically by the 2008 stock market collapse put money into alternative mutual funds. By May 2014, the alternative mutual fund market assets were $300 billion with substantial inflow of capital.

Many investors have not been aware of, or ignored, the unique risks associated with these diversified funds. Alternative investments often are less liquid, less transparent, have high fees, and tend to have complicated tax implications. Knowing the risks of investment in AMFs and the risks of failure to comply with a myriad regulations will become a critical concern to many companies and investors as The Securities and Exchange's (SEC) Commission's Division of Investment Management investigates AMFs in late 2014 or early 2015.

The Knowledge Group has assembled a panel of key thought leaders to provide the audience with an in-depth analysis of Alternative Mutual Funds and issues of Compliance and Risk Management in 2015. Speakers will discuss the up-coming investigations of AMFs by the SEC.

Key topics include:

  • Alternative Mutual Funds
  • AMF Benefits and Drawbacks
  • Regulatory Requirements
  • Compliance and Risk Management
  • AMF Compliance and Enforcement Actions

Who Should Attend

  • Finance Lawyers                             
  • Fund Managers                                               
  • Financial Advisers                           
  • Investment Bankers
  • Money Managers                          
  • Corporate Financial Officers                       
  • Financial Executives                       
  • Compliance and  Risk Management Attorneys    


Alternative Mutual Funds CLE/CPE
Jeremy Senderowicz
Dechert LLP
Alternative Mutual Funds CLE/CPE
Marc R. Lieberman
Kutak Rock
Alternative Mutual Funds CLE/CPE
John S. Lore
Capital Fund Law Group

Click Here to Read Additional Material

Alternative Mutual Funds CLE/CPE

Jeremy Senderowicz, Partner
Dechert LLP
  • What you can and can’t do in the mutual fund wrapper
  • Regulatory issues
  • Considerations manager must take into account
  • Hands off to investor ramifications

Marc R. Lieberman, Partner
Kutak Rock
  • What are you actually buying?
  • What are the mandates and restrictions of the fund?
  • How much are you really paying for the fund?
  • What kind of returns are the funds generating?
  • Private equity funds

John S. Lore, Shareholder
Capital Fund Law Group
  • Focusing on Alternative Investment space with private equity funds Hedge funds 

Alternative Mutual Funds CLE/CPE

Alternative Mutual Funds CLE/CPE

Jeremy SenderowiczPartnerDechert LLP

Jeremy I. Senderowicz advises registered investment companies, private funds and their investment advisers on a variety of general asset management matters. His practice is particularly focused on the formation and regulation of exchange-traded funds, registered funds of hedge funds, and hedge funds.

Mr. Senderowicz has represented many leading companies within the financial services industry, including Morgan Stanley Investment Management, Guggenheim Funds (formerly Claymore), Charles Schwab, Deutsche Bank Advisors, Morgan Stanley Alternative Investment Partners, Invesco PowerShares, Van Eck Associates, ALPS Funds Services, Old Mutual Global Index Trackers, Aetos Capital, Generation Investment Management, and Ares Management.

In addition, Mr. Senderowicz has been interviewed about financial services related topics by HFMWeek and Ignites.

Mr. Senderowicz received his B.A. from Columbia University (1995, magna cum laude) and his J.D. from Columbia Law School (1999). He is admitted to the New York Bar.

Alternative Mutual Funds CLE/CPE

Marc R. LiebermanPartnerKutak Rock

Marc Lieberman is an "AV"-rated Super Lawyer® and Chair of the Kutak Rock Alternative Investments Group, which negotiates private equity, hedge fund and real estate transactions for institutional investors, including public pension plans and sovereign wealth funds.  A Board Certified Real Estate Specialist (State Bar of Arizona), Mr. Lieberman's Alternative Investments Group has negotiated over $3 billion in alternative investments for institutional investors, including portable alpha, beta overlay, GTAA, absolute return, risk parity, venture capital, credit opportunity and infrastructure investments, as well as secondary acquisitions and co-investments.  Mr. Lieberman is listed in Best Lawyers in America, and is admitted to practice in Arizona, Colorado, Texas and the District of Columbia.

Alternative Mutual Funds CLE/CPE

John S. LoreShareholderCapital Fund Law Group

John S. Lore, Esq. is a partner at Capital Fund Law Group, an investment fund law boutique focused on domestic and offshore investment fund formation.  Mr. Lore advises established and emerging fund managers throughout the United States in forming and operating hedge funds, private equity funds, real estate funds and other fund vehicles.  Prior to founding Capital Fund Law Group, Mr. Lore practiced corporate and securities law at a number of law firms, including the investment funds division of Akin Gump Strauss Hauer & Feld in its New York and Moscow offices.  Mr. Lore received his Juris Doctorate, with honors, from the University of Utah, S.J. Quinney College of Law, where he served as a senior member of the Utah Law Review staff.  Mr. Lore is a holder of the Series 65 Investment Adviser Law Examination.

Alternative Mutual Funds CLE/CPE

Course Level:

Advance Preparation:
   Print and review course materials

Method Of Presentation:
   On-demand Webcast


Course Code:

NASBA Field of Study:

NY Category of CLE Credit:
   Areas of Professional Practice

Total Credits:
    2.0 CLE

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About the Knowledge Group

The Knowledge Group

The Knowledge Group has been a leading global provider of Continuing Education (CLE, CPE) for over 13 Years. We produce over 450 LIVE webcasts annually and have a catalog of over 4,000 on-demand courses.

About the Knowledge Group

The Knowledge Group

The Knowledge Group has been a leading global provider of Continuing Education (CLE, CPE) for over 13 Years. We produce over 450 LIVE webcasts annually and have a catalog of over 4,000 on-demand courses.

Dechert is a leading adviser to financial services firms, asset managers and investment funds, representing clients ranging from small start-up and boutique operations to some of the largest financial institutions in the world. Our international team advises on regulatory and compliance matters, investigations by regulatory authorities, litigation and the formation and management of open- and closed-end funds, exchange-traded funds, insurance products, offshore funds and hedge funds. We serve as transactional counsel and handle regulatory issues in mergers and acquisitions of financial services companies and funds. We also advise on the operational integration of diversified financial institutions, tax, ERISA, executive compensation and employee benefits matters.

With approximately 180 financial services lawyers working throughout 17 offices firmwide, Dechert is the only law firm with offices in the key fund jurisdictions of London, Dublin and Luxembourg.

Website: https://www.dechert.com/

Kutak Rock LLP is a national firm of 500 lawyers with locations throughout the United States.  The firm serves local, regional and national clients in a practice that spans a broad range of disciplines, including securities, finance, private equity and hedge transactions.

Website: https://www.kutakrock.com/

Capital Fund Law Group’s legal team has extensive experience advising investment fund sponsors on all aspects of their business, from capital raising and fund formation to implementation of their business models.  Our representation of a broad range of asset managers allows us to keep abreast of emerging industry trends.

Website: https://capitalfundlawgroup.com/

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