Investment Management Seminar Agenda - K&L Gates
Investment Management Seminar Agenda - K&L Gates
Investment Management Seminar Agenda - K&L Gates
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THURSDAY, NOVEMBER 8, 2007 (cont.)<br />
(All times Eastern Standard Time)<br />
4:10 pm – 4:50 pm EXCHANGE TRADED FUNDS (ETF’s)<br />
Presented by: Stacy Fuller and Francine J. Rosenberger<br />
Ms. Fuller’s focus is on serving the needs of investment advisory firms of<br />
all sizes with a particular emphasis on ETFs, closed-end funds and funds<br />
of funds. Ms. Fuller recently joined the firm from the SEC, where she held<br />
various positions in the Office of General Counsel and the Division of<br />
<strong>Investment</strong> <strong>Management</strong>. In addition, Ms. Fuller provides counsel on the legal<br />
issues that arise in connection with incentive compensation plans of Business<br />
Development Companies (BDCs) and with the waiver process under section<br />
9(c) of the 1940 Act. Reach her on: 202.778.9475 or stacy.fuller@klgates.<br />
com.<br />
Ms. Rosenberger concentrates on compliance, regulatory and transactional<br />
matters involving mutual funds, closed-end funds, exchange traded funds<br />
(ETFs) and investment advisers. Reach her on: 202.778.9187 or<br />
francine.rosenberger@klgates.com.<br />
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