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.


  • 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

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