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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WEDNESDAY, NOVEMBER 7, 2007 (cont.)<br />
(All times Eastern Standard Time)<br />
12:00 pm – 1:00 pm LUNCH AND Legislative update DISCUSSION<br />
Presented by: Bruce J. Heiman and the K&L <strong>Gates</strong> Public Policy Group<br />
Mr. Heiman concentrates his practice in the technology, trade, transportation<br />
and postal industries, representing companies and organizations before<br />
Congress and federal agencies. He regularly assists clients pursue legislation,<br />
helps them with the regulatory implementation of enacted laws, and pursues<br />
their interests in industry meetings as well as government negotiations. He<br />
served as legislative director and trade counsel to U.S. Senator Daniel Patrick<br />
Moynihan of New York from 1984 to 1987. Reach him on: 202.778.3935<br />
or bruce.heiman@klgates.com.<br />
1:00 pm – 1:15 pm WELCOME TO ADVANCED PROGRAM<br />
Presented by: Arthur C. Delibert<br />
Mr. Delibert represents and advises open- and closed-end investment<br />
companies, investment advisers, investment company independent trustees,<br />
and fund distributors. Mr. Delibert is responsible for organizing the firm’s<br />
<strong>Investment</strong> <strong>Management</strong> Training <strong>Seminar</strong>. Reach him on: 202.778.9042<br />
or arthur.delibert@klgates.com.<br />
1:15 pm – 2:45 pm DUTIES AND RESPONSIBILITIES OF INVESTMENT ADVISERS:<br />
INVESTMENT POLICIES AND LIMITATIONS; TRANSACTIONS WITH AFFILIATES<br />
Presented by: Alan C. Porter and Mark C. Amorosi<br />
• Duties of <strong>Investment</strong> Advisers<br />
• The <strong>Investment</strong> Objective of a Fund<br />
• Fundamental and Non-Fundamental <strong>Investment</strong> Policies and Limitations<br />
• Transactions with Affiliates<br />
• Codes of Ethics<br />
Mr. Porter has more than 20 years of experience representing financial services<br />
companies, principally registered investment companies and investment advisers.<br />
His practice includes advising clients regarding a variety of regulatory<br />
and corporate matters, as well as representation of fund independent directors/trustees.<br />
Reach him on: 202.778.9186 or alan.porter@klgates.com.<br />
Mr. Amorosi focuses on investment management matters, with an emphasis<br />
on advising registered investment companies and investment advisers on various<br />
regulatory and compliance matters, including the organization, registration<br />
and operation of investment companies. Prior to joining Kirkpatrick & Lockhart<br />
Nicholson Graham LLP, Mr. Amorosi worked in the Division of <strong>Investment</strong><br />
<strong>Management</strong> at the SEC, where he held the positions of Special Counsel<br />
(1998-1999), Branch Chief (1997-1998) and Attorney Adviser (1994-1997).<br />
Reach him on: 202.778.9351 or mark.amorosi@klgates.com.
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