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    The New Financial Regulatory Environment and its Market Impacts

    October 28, 2009
    12:00 PM - 2:00 PM
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    The Buckhead Club 3344 Peachtree Road, NE - 26th Floor
    Atlanta, GA 30326  Directions

    What has changed in the post-Madoff world? What do regulators and clients now expect? What due diligence standards are private money managers required to meet when selecting investments and allocating client assets to sub-advisers? What roles are senior management and corporate boards playing in overseeing the investment process and individual investment decisions? How do market, operational, legal, compliance, business, and other factors impact due diligence requirements?

     

    To learn the answers to these questions and more, join us for an engaging discussion on due diligence in the post-Madoff world led by Michael B. Koffler, Partner in Sutherland Asbill & Brennan LLP’s New York office and William H. Hope II, Counsel in Sutherland’s Atlanta office. Michael, a former regulator with the Securities and Exchange Commission, and Bill, former corporate counsel for ING Investment Management Americas, represent investment advisers and private money managers and understand their needs and concerns. At this luncheon, they will examine due diligence issues and offer stories and examples from the front line in an interactive format. Questions and active participation will be encouraged.

     

    About the Speakers:

    Michael B. Koffler is a Partner in the Financial Services Practice Group in Sutherland’s New York office, where he advises clients on securities issues involved in the management and distribution of investment products by financial institutions, such as wirehouse firms, banks, independent broker-dealers, investment advisers and insurance companies. Prior to joining the firm, Michael spent two years on the staff of the SEC in the Division of Investment Management and was responsible for reviewing registration statements, no-action requests, exemptive applications and proxy statements. He also helped promulgate SEC rules and answer interpretive questions from financial institutions.

     

    William H. Hope II, a CFA charterholder, is Counsel in Sutherland’s Corporate Practice Group. Bill is member of both the CFA Institute and the CFA Society of Atlanta and serves on the CFA Institute’s Disciplinary Review Committee. Before joining Sutherland, Bill served for seven years as corporate counsel for ING Investment Management Americas, providing legal advice and counsel to multiple investment teams concerning exchange-traded and over-the-counter derivatives and structured products, various investment-related issues under state insurance law, ERISA, the Investment Company Act of 1940, and the Investment Advisers Act of 1940. Bill also practiced for 16 years in Tokyo, Japan, where he served in various legal and corporate capacities with several major companies including Prudential Securities, Credit Suisse First Boston, AFLAC International and GE Capital Corporation.

     

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