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5372   Business Continuity Plans for Funds and Advisers 30 Oct 2:00PM 3:00PM October Thursday 6 2016

This summer, the SEC staff issued a guidance update on business continuity plans for funds. The guidance provides the staff's views on considerations for funds as they assess the complex's ability to continue operations after a business disruption. At the same time, the Commission issued a proposal that would require that all advisers adopt business continuity plans, that those plans address certain specific elements, and that creates potential fraud liability for failures in the business continuity planning. 

Please join Jim Burns and Kimberly Beattie Saunders from Willkie Farr & Gallagher LLP as they provide an overview of the guidance and the rule proposal, focusing on the directors' role.

This webinar will be broadcast live on Thursday, October 6, 2016 at 2 pm (ET).

To receive member pricing, login to the site before clicking register.  If you need assistance, call the Forum at (202) 507-4488.
            Forum Webinar Series      
James R. Burns
Partner
Willkie Farr & Gallagher LLP
 
James R. Burns is a partner in the firm’s Asset Management Group, focusing on counseling investment managers, broker-dealers, self-regulatory organizations, and other registered entities on regulatory, compliance and enforcement matters. Prior to joining Willkie, Jim served as Deputy Director of the SEC’s Division of Trading and Markets.
 
Jim has significant experience in both the trading and markets and investment management areas.  He provides clients with insights into current issues in SEC examination and enforcement contexts as well as strategic advice on the effects of SEC initiatives on the business operations and compliance programs of registrants overseen by the Division of Trading and Markets and the Division of Investment Management.
 
Kimberly Beattie Saunders
Associate
Willkie Farr & Gallagher LLP
 
Kimberly Beattie Saunders is an associate in the Asset Management Group in the Washington, D.C. office. She advises financial institutions and investment advisers regarding their regulation by the U.S. Securities and Exchange Commission (SEC). In that capacity, she oversees the development and revision of compliance materials and management agreements; guides investment advisers through SEC examinations and enforcement proceedings; advises directors of registered fund complexes on Investment Company Act requirements; guides hedge fund advisers’ transition into registered fund management; and seeks exemptive orders and no-action relief for operations outside the reach of the Investment Advisers and Investment Company Acts.
$100
Free
W   Oct October Thursday 6 2016     0.0000 0.0000
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