Thursday, April 10, 2014

A CPA workshop from my friends at McDevitt & Kline

Financial Services Potpourri
Presenter: Gregory J. Nowak

Date & Time: Thursday, April 17th, 2014, 9:00 AM to 5:00 PM EST

Location: Temple University Center City Campus or online via Live Webcast

Credits: 1 Ethics & 6 Substantive CLE*, 1 Ethics & 7 Finance CPE

Course Description
What do the JOBS Act, Dodd Frank, renewed SEC enforcement efforts, Bitcoin, Swaps, and Peer-to-Peer lending have in common?  All are topics that have dominated the legal landscape for the last 12 months!
This program will focus on:
 - New Rule 506(c):  How it has changed the world of private placements?
 - Dodd Frank’s Bad Actor rules:  Do you know who your investors are?
 - Crowdfunding:  What is it?  Is it legal? How will it work (once the regulations are finalized!)?
 - Bitcoin and other alternative “currencies”:  Legal, tax, and practical issues.
 - Swaps:  What is a swap (as redefined by Dodd Frank and the CFTC and SEC)? What to do if you are an end user…or not?
 - Commodities:  What are they?  How are they regulated? MF Global-type concerns?
 - Peer to Peer Lending:  The future of investing?  The future of lending?  Where IT meets $$
 - Advising the regulated entity:  Ethical concerns.

Course Objectives
- Understand recent legislation (506c, Dodd-Frank, etc.)
- Review current trends in the swaps and commodities domain
- Discuss ethical concerns related to advising in regulated industries

The Presenter
Gregory J. Nowak is a partner in the Philadelphia office of Pepper Hamilton LLP, where he concentrates his practice in securities law, particularly in representing investment management companies and other clients on matters arising under the Investment Company Act of 1940 and the related Investment Advisers Act of 1940. He also represents broker-dealers and CTAs and CPOs with respect to matters under the Securities Exchange Act of 1934 and the Commodity Exchange Act.

Mr. Nowak writes and speaks frequently on issues involving investment management, health care and other matters. Mr. Nowak is the author of numerous books on hedge funds. Including: Hedge Fund Disclosure Documents Line by Line – A User’s Guide to Confidential Private Placement Memoranda for Funds Formed as Limited Liability Companies and Hedge Fund Agreements Line by Line – A User’s Guide to LLC Operating Contracts.  All of his books have been published by Aspatore Publishing.
Mr. Nowak consistently garners some of the highest ratings amongst McDevitt & Kline LLC guest speakers.  Seating is limited so be sure to register early for this new and very informative program!

Register today at or by calling William A. Kline, Ph.D, CFA, at 267-251-3805. 

McDevitt & Kline, LLC is registered with the National Association of State Boards of Accountancy (NASBA), as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors, 150 Fourth Avenue North, Suite 700, Nashville, TN, 37219-2417. Web site:

* McDevitt and Kline's live, internet-based courses are approved as Distance Learning courses by the PA Supreme Court CLE Board. For additional information, please visit ; Check with your State CLE Board for rules pertaining to live webcasts.  These rules differ from state to state.  For example, PA attorneys may earn up to 4 CLE credits per compliance period via live webcasts (or 4 out of 12 credits per year); NJ and DE attorneys may earn up to 12 CLE credits per compliance period via live webcasts (or 12 out of 24 credits per two years).

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