Speaking Engagement
PLI's Understanding Financial Products 2017
Wednesday, January 25, 2017 - Thursday, January 26, 2017
09:00 AM EDT - 5:00 PM EDT
New York
The explosion of new financial products over the past decade, the implosion of the credit markets and the resulting significant new regulatory requirements underline the importance of a basic understanding of financial products. While these instruments have been, in the view of many, invaluable investment tools, and have presented enormous potential for product manufacturers and investors, they also create potentially significant legal risks and challenges for their promoters, users, legal counsel and regulators. This seminar is designed as a hands-on learning tool to explain the fundamentals that you need to know when dealing with the more common financial investment products in the marketplace today.
WHAT YOU WILL LEARN
Learn how mutual funds and other investment companies are structured and distributed
Explore how hedge funds and other private funds are structured and operated following the JOBS Act and in light of government enforcement agencies’ efforts surrounding them
Evaluate universal life insurance, variable insurance products, guarantees and life settlements
Discuss flow through entities, including REITS, BDCs and similar vehicles
Understand securitized products
Gain insight into the use of derivatives - swaps, collars, options, futures and forwards to hedge portfolio positions
January 26, 2017 at 2:45pmHedge Funds and Other Private Funds
The establishment and operation of hedge funds
New structures
Private Equity, Venture Capital and Secondary Funds
Regulation of private funds – adviser registration and reporting after Dodd-Frank
How the products compete with mutual funds; registered hedge fund-of-funds
SEC examination and enforcement focus
FINRA considerations re: broker-dealer sales of private funds; hedge fund marketing
JOBS Act implications
Speakers: Scott J Lederman, Tram N. Nguyen