What a year!

Besides launching the Fiduciary Governance Group in April, 2018 was a big year for our members in terms of speaking engagements. Here is a sample of what we’ve been up to:

The SEC, the DOL and the States: A New Fiduciary World, Investment Company Institute’s General Membership Meeting
Navigating the Demand for Environmental, Social and Governance (ESG) Policies, ACA Compliance Group’s Fall Compliance Conference
SEC Strategic Agenda, Investment Management Institute
What You Don’t Know Can Hurt You: Governance and the Evolving Role of DC Plan Sponsor as Fiduciary, Pensions & Investments 401(k)/403(b) Investment Lineup Conference
New Standards in Fund Valuation, Voltaire Advisors Annual Workshop on Fund Valuation
DOL Fiduciary Rule and State Developments, American Bankers Association
Marketing and Social Media Compliance for Investment Advisers, NRS Fall Compliance Conference
Banking in the 21st Century – Settling into the Digital Age, Association for Corporate Counsel’s Banking & Financial Services Law CLE
Hedge/Mutual Fund Perspective, Cryptocon
Fee-Based v. Commission-Based Accounts, New York State Bar Association’s Securities Arbitration and Mediation Evolution Program
A GPS for Accelerating Entry into the China Market, Pensions & Investments’ Investing in China’s Future Conference
Legal and Compliance Panel, SIFMA’s 2018 Conference
ESG Considerations for ERISA Fiduciaries, Fi360 National Conference
Best Execution and Trading for Investment Advisers, NRS Fall Compliance Conference
Expense & Investment Allocations, YJP General Counsel & Compliance Conference
Closed-End Fund Regulatory and Compliance Issues, Investment Company Institute’s Closed-End Fund Conference
ESG Investing Through the Lens of a Fiduciary, Boston BASIC
EU/Offshore Regulatory Update, Practising Law Institute’s Global Investment Funds Program
Form ADV Part 1: Annual Updating Amendment and More, IAA/NRS Chicago Investment Adviser Compliance Symposium

Blog Authors

Sara P. Crovitz

Sara Crovitz, most recently Deputy Chief Counsel and Associate Director of the U.S. Securities and Exchange Commission’s Division of Investment Management, provides counsel on all aspects of investment company and investment adviser regulation. She worked at the SEC for 21 years, including 17 years in the Division of Investment Management focusing on issues under the Investment Company and Investment Advisers Acts of 1940. While in the Division, Sara supervised the provision of significant legal guidance to the investment management industry through no-action and interpretive letters, exemptive applications, IM guidance updates and other written and oral means.

William T. Mandia

William Mandia represents financial institutions and insurers in complex commercial and class action litigation. He regularly defends and advises life insurers, intermediaries, banks, broker-dealers, investment advisers, and other financial services providers in connection with sales practices claims arising from a wide range of financial and life insurance products, including, but not limited to, claims for alleged breach of fiduciary duty, fraud, and violations of state consumer protection laws.

Peter M. Hong

Peter Hong uses his many years of service at the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) to guide clients through the various regulatory requirements involved in the offer of financial services and products. His practice includes the registration and regulation of investment advisers, broker-dealers, commodity trading advisers, commodity pool operators, and introducing brokers under federal and state laws, as well as the formation and ongoing compliance obligations of registered and private investment companies.