HomeWebcastAsset Management Megatrends: Redefining the Industry
Asset Management Megatrends CLE

Asset Management Megatrends: Redefining the Industry

Live Webcast Date: Monday, September 19, 2016 from 3:00 pm to 5:00 pm (ET)
Business and Corporation CLE & CPERecording

Asset Management Megatrends

The asset management industry is expected to undergo major changes in the coming years. As higher volumes of assets are being projected, firms should be able to manage these assets to the best of their combined ability. Required efforts should be delivered to be able to satisfy both investors and policymakers.

Interconnected game changers include the transformation of fee models, the growth of alternative and passive assets, and the emergence of new breed of brand managers. The costs of regulatory compliance may still be high by historical measures. Firms should give substantial thought on how they should respond to these in order to develop an effective strategy.

In this two-hour Webcast, a panel of distinguished professionals and thought leaders will help the asset management industry understand the fundamental and complex aspects of Asset Management. They will provide an in-depth discussion of various megatrends in asset management and will also offer best practices in developing and implementing an efficient coping strategies.

Key topics include:

  • The Asset Management Industry Landscape – An Overview
  • Megatrends Reshaping the Industry
  • Opportunities for the Industry
  • Anticipated Industry Challenges
  • Regulatory Forecasts

Agenda

SEGMENT 1:
Benjamin Haskin, Partner
Willkie Farr & Gallagher LLP
  • New regulatory burdens on mutual funds and advisers
  • Summary of DOL rule impact on advisers and funds
  • Revised SEC inspection regime
  • Asset Management focus of SEC Enforcement
  • Selected recent cases involving private equity firms and other advisers

SEGMENT 2:
Jonathan Levy, Partner
Lindquist & Vennum LLP
  • In overview of Asset Management Landscape:
    • Regulatory compliance costs exponential growth and what that means for RIAs  
    • Chief Compliance Officer and other compliance professional personal liability and effects on RIAS
    • Yates Memo and likely impact on RIAs
    • Whistleblower claims and bounties paid by SEC and effects on RIAs
    • 401K plan litigation and retirement plan claims growth, new DOL rules and impact on RIAs
    • Cybersecurity and more importantly insurance for cybersecurity claims 

Who Should Attend

  • Asset Managers
  • Investors
  • Mutual funds compliance officers
  • Attorneys whose practice areas include Finance
  • Chief Financial Officers
  • Finance Directors
  • Finance Lawyers
  • Account and Audit Preparers
  • Securities Lawyers
  • Private Companies

Asset Management Megatrends

SEGMENT 1:
Benjamin Haskin, Partner
Willkie Farr & Gallagher LLP
  • New regulatory burdens on mutual funds and advisers
  • Summary of DOL rule impact on advisers and funds
  • Revised SEC inspection regime
  • Asset Management focus of SEC Enforcement
  • Selected recent cases involving private equity firms and other advisers

SEGMENT 2:
Jonathan Levy, Partner
Lindquist & Vennum LLP
  • In overview of Asset Management Landscape:
    • Regulatory compliance costs exponential growth and what that means for RIAs  
    • Chief Compliance Officer and other compliance professional personal liability and effects on RIAS
    • Yates Memo and likely impact on RIAs
    • Whistleblower claims and bounties paid by SEC and effects on RIAs
    • 401K plan litigation and retirement plan claims growth, new DOL rules and impact on RIAs
    • Cybersecurity and more importantly insurance for cybersecurity claims 

Asset Management Megatrends

Asset Management Megatrends

Benjamin HaskinPartnerWillkie Farr & Gallagher LLP

Benjamin J. Haskin is a partner in the Asset Management Group of Willkie Farr & Gallagher LLP in Washington.  Mr. Haskin advises mutual funds, exchange-traded funds, private and offshore funds, investment advisers and broker-dealers on a wide range of investment management issues, including compliance, corporate governance and regulatory matters.  He represents fund boards of directors and regularly conducts internal reviews on behalf of investment companies and investment advisers.  He additionally advises investment managers on matters related to the purchase and sale of advisory businesses.

Asset Management Megatrends

Jonathan LevyPartnerLindquist & Vennum LLP

Jonathan B. Levy, is Co-Chair of the securities group at Lindquist & Vennum LLP in Minneapolis. Jon leads the investment management practice. Jon regularly represents investment advisers, limited partners, investment companies, broker-dealers and related financial service firms in a variety of matters, including private fund formation, fund governance, adviser and fund disclosure, regulatory examinations and mergers and acquisitions. Jon is on the Board of Directors of the Twin Cities Chapter of the CFA Society where he serves on various committees and is involved in planning the Chapter’s annual investor conference. Jon is also co-chair of the Securities Committee of the Minnesota State Business Association Business Law Section. Jon has a J.D. from the University of Pennsylvania, and a B.A. from the University of Wisconsin. Prior to joining Lindquist, he served as Senior Counsel for the SEC’s Southeast Regional Office.

Asset Management Megatrends

Course Level:
   Intermediate

Advance Preparation:
   Print and review course materials

Method Of Presentation:
   On-demand Webcast

Prerequisite:
   NONE

Course Code:
   145459

NASBA Field of Study:
   Finance

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.

Willkie Farr & Gallagher LLP provides strategic legal representation and counsel to market-leading public and private companies worldwide. We combine core experience—in asset management, business reorganization and restructuring, M&A, private equity, corporate and securities law, intellectual property, complex litigation, regulatory compliance and real estate—with other key disciplines to deliver practical solutions for business-critical transactions and bet-the-company litigation. Willkie's Asset Management practice, with over 40 years of experience, is a leader in the fund industry, providing an extensive array of legal services to all types of funds and their managers, directors, shareholders, clients and service providers.

Website: https://www.willkie.com/

Lindquist & Vennum’s 150 attorneys provide a full array of corporate finance, transactional, and litigation services for clients from offices in Minnesota, Colorado, and South Dakota. The firm has established and emerging practices in many industry and specialty areas, including private equity, financial institutions, real estate, healthcare and life sciences, renewable energy, and bankruptcy. In addition to corporate services, Lindquist also has strong estate planning and family law practices. For nearly five decades, the firm has served corporate, governmental, and individual clients across the nation and around the world.

Website: https://www.lindquist.com/

Benjamin J. Haskin is a partner in the Asset Management Group of Willkie Farr & Gallagher LLP in Washington.  Mr. Haskin advises mutual funds, exchange-traded funds, private and offshore funds, investment advisers and broker-dealers on a wide range of investment management issues, including compliance, corporate governance and regulatory matters.  He represents fund boards of directors and regularly conducts internal reviews on behalf of investment companies and investment advisers.  He additionally advises investment managers on matters related to the purchase and sale of advisory businesses.

Jonathan B. Levy, is Co-Chair of the securities group at Lindquist & Vennum LLP in Minneapolis. Jon leads the investment management practice. Jon regularly represents investment advisers, limited partners, investment companies, broker-dealers and related financial service firms in a variety of matters, including private fund formation, fund governance, adviser and fund disclosure, regulatory examinations and mergers and acquisitions. Jon is on the Board of Directors of the Twin Cities Chapter of the CFA Society where he serves on various committees and is involved in planning the Chapter’s annual investor conference. Jon is also co-chair of the Securities Committee of the Minnesota State Business Association Business Law Section. Jon has a J.D. from the University of Pennsylvania, and a B.A. from the University of Wisconsin. Prior to joining Lindquist, he served as Senior Counsel for the SEC’s Southeast Regional Office.

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