Investment Adviser / Asset Management Group Roundtable:
An Event Designed for Sell-side and Buy-side Dialogue
MAY 3 & 4, 2007
Boston, MA
THE SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION is pleased to invite securities professionals from member firms across the financial industry to participate in a special Roundtable which will focus on cross-industry business and legal issues that mutually impact two distinct sides of the industry - - sell-side and buy-side.
This Roundtable will address issues including:
- How does the SEC pronouncement on soft dollar / client commission arrangements impact the business activities of broker/dealers and asset managers and how might it influence transparency initiatives?
- What's on the road ahead for the hedge fund industry and what does it mean for broker/dealers and asset managers?
- What does "best execution" mean for the fixed-income and equity markets and by what criteria can the legal side evaluate best execution and the business side demonstrate best execution?
- How can the sell-side and the buy-side coordinate on the development of advisory products and services from a regulatory, marketing and ethical standpoint?
- What are the recent developments concerning regulation of investment advisers and broker dealers, including the FPA vs. SEC court decision?
Who Should Attend? Participation in this Roundtable will prove to be an invaluable learning experience for you and your firm in understanding just some of the issues identified above. It is a must-attend event for all business and legal decision-makers in the investment management industry. The Roundtable has specifically been designed for: Chief Operating Officers, Chief Compliance Officers (and other compliance and legal professionals) and heads of asset management business lines. This event is closed to the press.
Roundtable Details:
Thursday, May 3 - Friday May 4, 2007
The Algonquin Club
217 Commonwealth Avenue
Boston, MA 02116
Program will begin with breakfast at 8:30 a.m. on May 3 and conclude at 12 p.m. on May 4.
New York CLE Credit Available. Space is limited, please respond promptly.
For hotel arrangements, please contact Susan Weiss at (646) 637-9293 or at sweiss@sifma.org