|5384||Liquidity Management and Swing Pricing: New Responsibilities for Boards||30||Nov||2:00PM||3:00PM||November||Monday||21||2016||
The SEC recently adopted far-reaching rules requiring mutual funds and ETFs to adopt liquidity risk management programs and permitting mutual funds to use "swing pricing." Join Dechert lawyers Julien Bourgeois, Brendan Fox and Brenden Carroll to discuss these new important rules, and particularly the challenges they pose to funds and the new responsibilities they impose on boards of trustees.
This webinar will be aired live from 2:00 to 3:00 pm Eastern Time on Monday, November 21, 2016.
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|Forum Webinar Series||
This event is closed to the media.
This program is open to all professionals in the fund industry.
Julien Bourgeois focuses on the asset management industry, advising U.S. registered investment companies and their directors, as well as their investment advisers and other service providers, on regulatory, compliance, governance and enforcement matters. Mr. Bourgeois has significant experience with all aspects of investment company representations, including: board matters; exemptive applications; initial and ongoing registrations; complex fund reorganization transactions; affiliation considerations; and structuring funds of funds, manager of managers funds and registered funds using alternative investment strategies and fee arrangements.
Brenden P. Carroll
Brenden P. Carroll is an associate in the firm’s financial services group. Mr. Carroll represents U.S. registered investment companies, other pooled investment vehicles and investment advisers in a variety of regulatory, transactional and compliance matters. These matters include reorganization transactions, registration and proxy statements, and requests for exemptive and no-action relief from the U.S. Securities and Exchange Commission (SEC). He also advises boards of directors/trustees of U.S. registered investment companies on fund governance and fiduciary oversight matters. Mr. Carroll has significant experience in matters relating to the SEC’s “pay-to-play” rule, money market funds and investment advisory agreements.
Brendan C. Fox
Brendan C. Fox has extensive experience in the regulation of open-end and closed-end investment companies, investment advisers and broker-dealers, and derivatives and alternative investment products. His practice regularly involves counseling investment management firms, investment funds, and their boards of directors on corporate, securities, and regulatory compliance matters. His work has been recognized by The Best Lawyers in America, which lists him in the area of mutual funds law. Mr. Fox also focuses on the development of new investment products, strategies, and transactions, including the full range of exchange-traded and over-the-counter derivatives transactions and alternative investments. Mr. Fox joined Dechert in 1993. From 1997 to 2000, Mr. Fox served as special counsel in the U.S. Securities and Exchange Commission (SEC)’s Office of Chief Counsel, Division of Investment Management.
WHO SHOULD ATTEND
PRESS / MEDIA