Financial Services Potpourri
www.ceworkshops.com
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 www.ceworkshops.com 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: www.nasba.org.
* 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 http://www.pacle.org/. ;
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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