POSTPONED: CLE - The Regulators Speak: 2020 Enforcement and Exam Priorities for the SEC and FINRA

03/18/2020 - 04:00 PM to 06:00 PM
Come hear representatives from the SEC and FINRA discuss trends and priorities for 2020. In this CLE, the panel discussion will cover both regulatory exams and enforcement actions....
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Clear Beyond Words: Applying Visual Thinking to Legal and Regulatory Documents

03/04/2020 - 12:00 PM to 01:00 PM
Learn how to apply visual thinking to make legal and regulatory documents easier to use without compromising legal and regulatory sufficiency....
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Meet the Bank General Counsels

02/05/2020 - 12:00 PM to 01:30 PM
Please join us for a panel discussion with General Counsels from four prominent area banks: State Street, Wells Fargo, HarborOne Bancorp, Inc. and Fiduciary Trust....
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Fundamentals of an Investment Advisory & Investment Company Legal Practice

02/03/2020 - 12:00 PM to 01:00 PM
The program will describe the various types of investment advisors and investment vehicles and relevant statutes, rules, and regulations. The programs will also discuss what a securities and IM lawyer does, both in-house and at a firm....
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Educating and Training the Next Generation of Investment Management Lawyers in a Rapidly Changing Industry

02/03/2020 - 12:00 PM to 01:00 PM
The program is about the challenges of teaching investment management law and how the mix of topics and legal concepts to be mastered by practitioners in the industry has changed over the last twenty years and is likely to change going forward....
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SEC’s Proposal to Modernize the Advertising Rule: What You Need to Know

01/30/2020 - 12:30 PM to 01:30 PM
The panel will discuss the proposed rule change to how investment advisers present performance and areas for comment....
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Meet the Bank Regulators

12/06/2019 - 12:00 PM to 01:00 PM
Join us for a panel discussion with regulators from the Massachusetts Division of Banks, the Consumer Financial Protection Bureau, FDIC and the Federal Reserve Bank of Boston....
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Wall Street, the SEC and MiFID II: Investment Research, Hard Dollars and Special Compensation under the Investment Advisers Act of 1940

12/05/2019 - 12:30 PM to 01:30 PM
An expert panel will provide a discussion on the evolution of the investment research payment processes....
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California Dreaming: California Consumer Privacy Act – Compliance Issues for Asset Managers

12/02/2019 - 12:00 PM to 01:00 PM
The January 1, 2020 date for adopting policies and procedures to comply with the far-reaching California Consumer Privacy Act (CCPA) is fast approaching. Our panel of experts will discuss issues related to complying with the CCPA....
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Regulatory Update: Reg BI, Form CRS, and the SEC’s Fiduciary Duty Interpretation

11/19/2019 - 12:00 PM to 01:00 PM
An expert panel will offer insights on the SEC’s new rules and interpretations that deal with standards of conduct for brokers and investment advisers....
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Regulatory Update from the Investment Company Institute – News from Washington

11/06/2019 - 12:00 PM to 01:00 PM
Hear about the latest regulatory developments pertaining to investment companies from the Investment Company Institute (ICI)....
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The Washington Update for Registered Investment Advisers

10/16/2019 - 12:00 PM to 01:00 PM
This interactive sessions will provide an update from David Tittsworth, Counsel at Ropes & Gray and a longtime Washington, DC observer....
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Using Reinsurance to Lower Premiums for Health Insurance: Could it Work Here in Massachusetts?

09/26/2019 - 12:00 PM to 01:00 PM
Since the lapse of the federal reinsurance program in 2016, several states have created their own reinsurance programs, and have successfully reduced health insurance premiums....
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Global Distribution of Fund Products and Advisory Services - Overview & Practical Considerations

06/03/2019 - 12:00 PM to 01:30 PM
Learn the “Ins and Outs” of how asset managers access new investors/clients globally through the sale of funds or the provision of advisory services on a cross-border basis....
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