PLI - Investment Management Institute 2019

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Registration Options

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PBI Conference Center
5080 Ritter Road, Rossmoyne Exit, Rt. 15, Mechanicsburg PA, 17055
STARTThu., Mar. 21, 2019
9:00 AM
ENDFri., Mar. 22, 2019
12:45 PM
CLE 8 sub/1 eth PRICE $1,895.00
The CLE Conference Center
Wanamaker Building, 10th Floor, Suite 1010, Philadelphia PA, 19107
STARTThu., Mar. 21, 2019
9:00 AM
ENDFri., Mar. 22, 2019
12:45 PM
CLE 8 sub/1 eth PRICE $1,895.00
PBI Professional Development Center
Heinz 57 Center, 339 Sixth Avenue, 7th Fl., Pittsburgh PA, 15222
STARTThu., Mar. 21, 2019
9:00 AM
ENDFri., Mar. 22, 2019
12:45 PM
CLE 8 sub/1 eth PRICE $1,895.00


At this program you will hear expert panelists discuss significant business, legal, and technological developments in the investment management area over the past year and learn about important regulatory initiatives. Topics of discussion will include the SEC’s regulatory agenda, fund and advisers reporting regimes, and current issues of the day for alternative asset managers. You will also examine Section 36(b) cases and other recent investment management litigation. This program will feature a panel discussion on the ethical issues faced by investment management practitioners.

This program is designed for attorneys in law firms, in-house counsel, private fund lawyers, compliance officers and others involved in current 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.

Topics Include

Investor Experience and Disclosure Initiative
Liquidity management and derivatives regulation
A review of new SEC staff guidance, including possible valuation guidance
The SEC’s exchange-traded funds rule proposal and other matters
Proposal regarding personalized investment advice standard of conduct
The changing role of independent directors and trustees, and other governance matters
Monitoring of Fund Arrangements
Possible amendments to marketing rules under the Advisers Act
Mutual fund distribution-related issues
Investment management compliance hot buttons
Insurance products issues of the day
Enforcement trends in the asset management area


No speakers have been associated with this event.
Faculty may vary by location.
PBI reserves the right to substitute speakers at all programs.