Trading Best Practices and Legislative Initiatives Webcast
Matthew A. Magidson,
Scott H. Moss
August 5, 2009
12:30 - 1:30 pm EST
Lowenstein Sandler's Investment Management Group will host an in-depth discussion of trading best practices and recent legislative initiatives that could have a significant impact for investment professionals, including investment advisers, hedge funds and broker-dealers. In this 60-minute webcast, Lowenstein Sandler attorneys Scott Moss and Matthew Magidson, and CPA Nancy Grimaldi, Financial Services Partner, Eisner LLP, will provide updates on such important topics as: Current and pending legislation concerning short selling, investment adviser registration and OTC derivatives; an overview and potential impact of SEC proposal with respect to custody of funds or securities of clients by investment advisers, including an in-depth discussion of the scope and cost of the proposed custody examinations; best practices for sale of stocks, notes, credit default swaps (CDS) and other securities and instruments; regulatory preparedness through the development of efficient and effective back-office trading operating procedures (including risk, treasury, accounting, audit and legal) and preventing the misuse of material non-public information and recent SEC enforcement actions.
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