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K&L Gates Ninth Annual Investment Management Conference 2014: Global Legal and Regulatory Issues for Investment Managers and Funds

8 July 2014

At this one day conference, partners from a number of our global offices including those in Australia, Hong Kong, Dubai, Italy, Germany and the U.S. covered a variety of topics. Click the links below to view and listen to the conference recordings.

For additional conference materials, please click here.

Global Distribution Part I: Asia and Australia
Presented by Elizabeth Gray, Choo Lye Tan and Philip Morgan

  • Access to China: RQFII Funds
  • Asian fund distribution and manager licensing update
  • Asian/Australian fund passports and UCITS-like concepts
  • Accessing the Australian market
  • An update on seeking investment by Australian super-funds

Global Distribution Part II: Middle East 
Presented by Natalie Boyd

  • A discussion of the differences in approach between the Middle Eastern jurisdictions
  • What do the new UAE investment management regulations mean for non-UAE managers?
  • An overview of pending fund regulations in Saudi Arabia and the Dubai International Financial Centre

An Update on the Extra-Territorial Impact of U.S. Regulation 
Presented by Cary Meer, Todd Gibson and Robert Hadley

  • Private Offerings of Non-U.S. Funds to U.S. Investors
  • JOBS Act
  • Registration as a U.S. Investment Adviser and Exemptions for Non-U.S.
    Advisers
  • CPO/CTA Registration and Related Regulatory Update
  • “Covered Funds” under the Volcker Rule
  • Some key compliance messages from a few recent SEC enforcement cases
    with comparisons with recent UK enforcement cases

Global Distribution Part III: Europe 
Presented by Philip Morgan, Sean Donovan-Smith, Pasquale Marini, Christian Büche and Till Fock

  • Distribution of funds and investment management services in Germany, Italy
    and the UK
  • Differences in approaches to the AIFMD
  • The different treatment of open and closed-ended funds
  • Practical approaches to accessing the German, Italian and UK markets

Global Management of Regulated Funds -A Comparison of UCITS and U.S. Mutual Funds 
Presented by Todd Gibson and Sean Donovan-Smith

As the two most significant regulatory regimes for registered fund products, global asset managers will often manage and/or sponsor UCITS and U.S. Registered Mutual Fund products. We compare key differences and considerations for these two types of funds in three key areas:

  • Structuring and Establishing New Funds
  • Portfolio Management
  • Distribution and Marketing

An Update on Worldwide Derivatives and Related Regulatory Initiatives 
Presented by Sean Donovan-Smith, Cary Meer, Elizabeth Gray, Choo Lye Tan, Christian Büche and Natalie Boyd

  • How might the continued challenge to high frequency trading strategies
    develop
  • Reporting requirements under EMIR and Dodd-Frank
  • Close-out netting in the Middle East
  • Australian end-user reporting
  • The future of centralised clearing and derivatives regulation in Asia
  • Clashes between EMIR and CFTC cross-border guidance and how to deal
    with them
  • An update on international proposals for variation margin for non-cleared
    swaps

Keynote Address: A New Policy Landscape in the EU: Challenges and Opportunities 
Presented by Dr Ignasi Guardans, former MEP 

The Global and EU Public Policy Agenda
Presented by Sean Donovan-Smith, Dr Ignasi Guardans, Todd Gibson and Philip Morgan

This session includes a panel discussion on how the EU political agenda is impacting investment management firms, including:

  • The recent European Parliament elections and the possible consequences
    for the European Commission and key European Parliament Committees
  • The continued focus on systemic risk globally
  • The outlook for the further development of the UCITS, MIFID and EMIR
    projects
  • Increased co-ordination across regions