Investment Management Seminar Agenda - K&L Gates
Investment Management Seminar Agenda - K&L Gates
Investment Management Seminar Agenda - K&L Gates
Create successful ePaper yourself
Turn your PDF publications into a flip-book with our unique Google optimized e-Paper software.
THURSDAY, NOVEMBER 8, 2007 (cont.)<br />
(All times Eastern Standard Time)<br />
Mr. Smith concentrates his practice on investment management and<br />
mutual fund law. He serves as counsel to registered investment<br />
companies and their boards of directors, with a particular focus on bankaffiliated<br />
investment companies. In addition to providing regulatory and<br />
compliance counseling on routine and complex operational issues, he<br />
advises registered investment company and investment adviser clients on<br />
the impact of the rapidly changing regulatory landscape. His experience also<br />
extends to trust and investment management activities of banks<br />
and their affiliates, as well as questions arising from the other securities activities<br />
of banking institutions. Reach him on: 202.778.9079 or<br />
donald.smith@klgates.com.<br />
Mr. Zornada practices inestment management and securities law. He<br />
regularly represents investment advisers, open- and closed-end investment<br />
companies and their boards of directors, and private investment entities such<br />
as hedge funds and employees’ securities companies. His practice includes a<br />
broad spectrum of regulatory and transactional matters for<br />
investment advisers, investment companies, boards of directors, onshore<br />
and offshore hedge funds and their managers and advice to industrial and<br />
technology companies on their status under the <strong>Investment</strong> Company Act<br />
of 1940. Reach him on: 617.261.3231 or george.zornada@klgates.com.<br />
Mr. Zutz has primary responsibility for the day-to-day representation of<br />
numerous mutual funds and/or their Boards of Directors or Trustees, and<br />
he assists in the representation of various other funds and their managers.<br />
He was a member of the Securities and Exchange Commission staff for<br />
over five years, including service in the Division of <strong>Investment</strong> <strong>Management</strong><br />
and as Legal Counsel to a Commissioner. Reach him on: 202.778.9059 or<br />
robert.zutz@klgates.com.<br />
9:30 am – 10:15 am DISTRIBUTION OF MUTUAL FUND SHARES<br />
Presented by: Francine J. Rosenberger<br />
• Distribution Financing Arrangements (Sales Loads/Rule 12b–1 Plans)<br />
• Section 22(d) and Rule 12b–1<br />
• NASD Limitations<br />
• Multiple Class/Master-Feeder Arrangements<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.
Change language