Michael R.Butowsky

Of Counsel

New York + 1.212.326.8375

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Michael Butowsky's practice sits at the intersection of securities regulatory and transactional corporate/securities work. His decades of regulatory work for financial services industry participants, combined with his extensive background in fund formation, securities offerings, and M&A transactions, enable him to effectively address complex matters for clients.

Michael has provided guidance for more than three decades to a broad spectrum of financial services industry participants, including investment advisers, private investment funds, broker-dealers, registered investment companies, and BDCs. Clients turn to Michael for advice on matters such as: investment adviser registrations and ERA filings; compliance matters, including conflicts of interest, custody requirements, performance advertising, trading issues (e.g., principal transactions, trade allocations and sequencing, best execution, and soft dollars), allocations of co-investment opportunities, expense allocation disclosures, insider trading controls, and other compliance policies and procedures; the formation and regulation of private investment funds (such as hedge, private equity, venture capital, and real estate funds) and the drafting of managed account arrangements (including wrap fee programs); affiliated transactions under the Investment Company Act; broker-dealer placement agent and Rule 15a-6 arrangements; acquisitions and dispositions of investment advisers and broker-dealers; investment company, investment adviser, and broker-dealer “status” issues for financial services industry participants and operating companies; and SEC investment adviser examinations (including, advice concerning responses to exam questions and the conduct of the exam).

He also advises institutional investors in connection with their investments in investment vehicles managed by third-party investment managers.

Michael frequently speaks and writes on investment management topics.

Experience

  • Lennox obtains $350 million incremental increase to its existing credit facility with JPMorgan Chase Bank, N.A.Jones Day represented Lennox International Inc., a leading global provider of climate control solutions, in connection with an incremental increase of its unsecured credit facilities led by JPMorgan Chase Bank, N.A., as administrative agent for the bank syndicate, which provides for total revolving credit commitments of $1.1 billion.
  • GrafTech completes $450 million Senior Secured Notes offeringJones Day represented GrafTech International Ltd., a leading manufacturer of high-quality graphite electrode products essential to the production of electric arc furnace steel and other ferrous and non-ferrous metals, in connection with the Rule 144A and Regulation S offering of $450 million aggregate principal amount of 9.875% Senior Secured Notes due 2028 (the "Notes") by GrafTech Global Enterprises Inc., its wholly-owned subsidiary.
  • LarraínVial acquires 33% stake in Black Salmon and TSG Holding CompanyJones Day advised LarraínVial in its 33% acquisition in the holding companies of Black Salmon, a Miami-based, national commercial real estate investment firm and TSG Holding Company, a South Florida diversified real estate development and investment company.
  • Millicom International Cellular S.A. and Telemóvil El Salvador, S.A. de C.V. obtain $100 million term loan facilityJones Day advised Millicom International Cellular S.A. and Telemóvil El Salvador, S.A. de C.V. in connection with a five-year, $100 million term loan facility.
  • Eldridge Industries provides senior secured term loan credit facility to Digital Currency Group, Inc.Jones Day advised Eldridge Industries, LLC, as administrative agent and lead arranger, on a senior secured term loan credit facility provided to Digital Currency Group, Inc. (“DCG”).
  • Millicom International Cellular obtains bridge loan facilityJones Day advised Millicom International Cellular S.A. in connection with a bridge loan facility with a syndicate of commercial banks.
  • Forsee Power completes €115 million offering and IPO on regulated market of Euronext in ParisJones Day advised Forsee Power in connection with its initial public offering on the regulated market of Euronext in Paris and an offering of up to €115 million.
  • Millicom obtains $125 million term loan facilityJones Day advised Millicom International Cellular S.A. and Millicom Cable Costa Rica, S.A., in connection with a 5-year, $125 million multi-currency term loan facility with a syndicate of five commercial banks.
  • AGIC Capital closes $1.2 billion fund for investments in smart industriesJones Day acted as fund formation counsel to AGIC Capital for its $1.2 billion final closing of its second fund, AGIC Fund II L.P., which will be focused on advanced industrial and medical technology investments.
  • Greystar announces €725 million close for flagship pan-European closed-end value-add residential strategyJones Day advised Greystar Europe Investment Management B.V., a subsidiary of Greystar Real Estate Partners, LLC, on the closing of €725 million in equity commitments into its flagship pan-European value-add discretionary vehicle.
  • Skyworks Solutions completes $1.5 billion Senior Notes offeringJones Day represented Skyworks Solutions, Inc., a leading manufacturer of highly innovative analog semiconductors, in connection with its registered public offering of $500 million of 0.900% Senior Notes due 2023, $500 million of 1.800% Senior Notes due 2026, and $500 million of 3.000% Senior Notes due 2031.
  • Coronado Global Resources completes US$550 million in combined financingJones Day represented Coronado Global Resources Inc., in connection with (i) an offering of US$350 million aggregate principal amount of 10.750% Senior Secured Notes due 2026, (ii) a secured asset-based revolving credit agreement in an initial aggregate principal amount of US$100 million, and (iii) an offering of US$100 million aggregate principal amount of shares of its Common Stock in the form of CHESS Depositary Interests, which are listed on the Australian Stock Exchange.
  • Leading Panamanian cable and wireless services provider obtains US$110 million loanJones Day advised a leading cable and wireless services provider in Panama in connection with a 5-year $110 million financing.
  • GrafTech International Ltd. completes offering of $500 million of Senior Secured NotesJones Day represented GrafTech International Ltd., a leading manufacturer of high quality graphite electrode products essential to the production of EAF steel and other ferrous and non-ferrous metals, in connection with the issuance by its wholly-owned subsidiary, GrafTech Finance Inc., of $500 million aggregate principal amount of its 4.625% Senior Secured Notes due 2028 in a private offering pursuant to Rule 144A and Regulation S.
  • Millicom International Cellular obtains $600 million ESG-linked revolving credit facilityJones Day advised Millicom International Cellular S.A. in connection with a 5-year, $600 million revolving credit facility (the “Facility”) with a syndicate of 11 commercial banks.
  • Rayonier establishes $300 million at-the-market programJones Day represented Rayonier Inc., a publicly traded timberland real estate investment trust, in connection with the establishment of an at-the-market offering of $300 million of its common stock.
  • MPLX completes $3 billion public offering of Senior NotesJones Day represented MPLX LP in connection with a public offering of $3.0 billion of senior notes, consisting of (i) $1.5 billion aggregate principal amount of 1.750% Senior Notes due 2026 and (ii) $1.5 billion aggregate principal amount of 2.650% Senior Notes due 2030.
  • Integrated Medical Professionals sold to Lee Equity PartnersJones Day advised Integrated Medical Professionals, PLLC, a multi-specialty physician group specializing in urology, radiation oncology, and pathology, in its acquisition by Lee Equity Partners.
  • JTC acquires NES Financial for up to $116 millionJones Day advised JTC PLC in the acquisition of NES Financial, a technology-enabled provider of specialist fund administration and treasury services recognized on the San Francisco Business Times top Bay Area fintech list, for up to $116 million.
  • Millicom's subsidiary Telefónica Celular del Paraguay S.A.E. completes $250 million International re-tap offering of Senior NotesJones Day represented Telefónica Celular del Paraguay S.A.E. (“Telecel”) in connection with a $250 million Rule 144A and Regulation S re-tap offering to Telecel’s $300 million 5.875% Senior Notes due 2027 issued in April 2019.
    • View All

    April 2024 Alert

    QPAM Amendment Finalized: Prompt Action Required for Continued Reliance

    February 2024 Commentary

    Who Needs Customers, Anyway? New SEC Rules Turn Traders Into Dealers

    September 2023 Alert

    Grayscale Scores Win Against the SEC, but the Agency's Significant Market Test Remains Unaddressed

    August 2023 Alert

    SEC Adopts Long-Awaited and Heavily Debated Private Fund Adviser Rules

    March 2023 Alert

    SEC Advances Three Cybersecurity Rule Proposals to Public Comment

    January 2023 Commentary

    New Law Exempts M&A Brokers from SEC Registration

    September 2022 Alert

    SEC Highlights Compliance With New Advertising Rule

    May 2022 Commentary

    SEC Proposes New Disclosure Requirements for ESG Funds

    April 2022 Commentary

    SEC Proposes Rules to Clarify Dealer-Trader Distinction

    April 2022 Commentary

    The SEC's New Proposed SPAC Rules: Death Knell or Much-Needed Guidance?
    View All

    Speaking Engagements

    • September 2019
      Program on Regulation Best Interest, Florida International Bankers Association
    • October 2018
      A Look Ahead: Risks and Challenges for 2019, ACA Regulatory Horizon Forum, ACA Compliance Group
    • November 2017
      Outstanding Issues in MiFID II Compliance, 30 Minutes Beyond KYC, Bloomberg L.P.
    • October 2017
      Tackling Conflicts of Interest, ACA Regulatory Horizon Forum, ACA Compliance Group
    • May 2017
      Complying with the Times, 3rd Annual Big Law Business Summit, Bloomberg Law
    • April 2017
      Best Execution is Not Just About the Numbers, 30 Minutes Beyond KYC, Bloomberg L.P.
    • March 2017
      MiFID II for US Managers: What You Need to Know‎, 30 Minutes Beyond KYC, Bloomberg L.P.
    • November 2016
      The Enterprise Tech and Data Summit. Industry Panel: Can Technology Reverse the Trend of Increasing AML costs?, Bloomberg L.P.
    • October 2016
      An Update on Current OCIE Exams: What Investors Should Know, The Regulatory Fundamentals Group LLC
    • February 2016
      Emerging Issues in Data Risk and Compliance in the Financial Services Industry, Jones Day and Alvarez & Marsal
    • July 2015
      Conflict or Accord: Coming to Grips with Conflicts of Interest, Mutual Fund Compliance Summit and Investment Advisor Compliance Summit, Financial Research Associates, LLC
    • April 2015
      Broker-Dealer issues for Investment Advisers, Spring 2015 Compliance Conference, ACA Compliance Group/ACA Insight
    • April 2015
      Private Investment Fund Fees and Expenses, Meeting of the Private Investment Funds Subcommittee of the Business Law Section of the New York State Bar Association
    • January 2015
      Certain Investor-Related Legal and Compliance Issues for Hedge Funds, coauthor, Chapter 14 of Hedge Fund Compliance and Regulatory Challenges 2015, Practising Law Institute
    • October 28, 2014
      CyberSecurity: Preparing for and Responding to CyberIncidents
    • September 2014
      How to Uncover Potential Conflicts, IA Watch's 14th Annual IA Compliance Fall Conference 2014, IA Watch/IA Week
    • January 2014
      Investor-Facing Compliance Challenges and Ethical Considerations, Hedge Fund Compliance & Regulatory Challenges 2014, Practising Law Institute
    • November 2013
      The Crossroads of Marketing and Reporting Post - JOBS Act, Compliance 2013, The Managed Funds Association
    • October 2013
      The Blue-Print for an Effective Policies and Procedures Manual, moderator, 16th Annual Sub-Advised Funds Forum, Financial Research Associates, LLC
    • July 2013
      Regulatory Update: A Look at What's New from the SEC, The Hedge Fund Accounting & Compliance Forum, Financial Research Associates, LLC
    • April 2013
      Best Practices for Managing Client Commissions, Spring 2013 Compliance Conference, ACA Compliance Group/ACA Insight
    • January 2013
      Hedge Fund Investor Relations: Challenges and Opportunities, Hedge Fund Registration and Compliance 2012, Practising Law Institute
    • October 2012
      Special Issues in Best Execution and Soft Dollars, 14th Annual Sub-Advised Funds Forum, Financial Research Associates, LLC
    • January 2012
      Hedge Fund Investor Relations: Challenges and Opportunities, Hedge Fund Registration and Compliance, 2012 Practising Law Institute
    • January 2012
      Texas Asset Management Forum, Jones Day
    • March 2011
      Hedge Fund Registration and Compliance, 2011, Practising Law Institute
    • March 2011
      Pay-to-Play, Spring 2011 Compliance Conference, ACA Compliance Group/ACA Insight
    • March 2011
      SEC Exams: Satisfy New Expectations of Examiners, IA Compliance Best Practices Summit 2011, IA Watch/IA Week
    • March 2011
      Private Funds: The New Regulatory Regime, Investment Adviser Regulation 2011, ALI-ABA
    • October 2010
      Trading & Research: Bridging the Gap, FPL Americas Trading Conference, FIX Protocol Limited
    • October 2010
      Implications of the Dodd-Frank Act on Investment Advisers and their Funds, ALI-ABA Compliance Conference, ALI-ABA
    • June 2010
      Reducing the Risk of SEC Investigations and Enforcement, ACI’s 6th National Advanced Forum on Regulation and Enforcement of Hedge Funds & Investment Advisers, American Conference Institute
    • April 2010
      Hedge Fund Registration and Compliance, 2010, Practising Law Institute
    • December 2009
      Business Structure Implications and Legal Ethics, Ethics Webinar Series, Financial Research Associates, LLC
    • November 2009
      Untangling the Ethics Web: Identifying Conflicts and Which Rules Apply, Ethics Webinar Series, Financial Research Associates, LLC
    • November 2009
      Duties of the In-House Counsel, Ethics Webinar Series, Financial Research Associates, LLC
    • November 2009
      Duty of Confidentiality - When to Report-Up & When to Go to the SEC, Ethics Webinar Series, Financial Research Associates, LLC
    • September 2009
      Compliance Update – New Regulation, Heightened Exams, SEC Expectations, Ninth Annual IA Compliance Fall Conference, IA Watch/ IA Week
    • September 2009
      Private Investment Funds, CFTC & SEC Joint Meeting on Harmonization of Regulation
    • September 2009
      Compliance Update - New Regulation, Heightened Exams, SEC Expectations, Ninth Annual IA Compliance Fall Conference, IA Week
    • February 2009
      Regulation in the Aftermath of the Financial Crisis, First Annual Wharton Hedge Fund Conference, The Wharton School of the University of Pennsylvania
    • January 2009
      Investment Adviser Regulation, ALI-ABA Program at Fordham Law School, ALI-ABA
    • December 2008
      Crisis Control: Retaining and Reassuring Investors in a Time of Financial Crisis with SEC Compliant Communications, Hedge Fund Business Operations Association
    • May 2008
      Website and Internet Compliance Issues, Investment Adviser Compliance, Financial Research Associates, LLC
    • February 2008
      Best Practices for Conducting the Best Execution Component of Your Annual Review, and Structures In Use for Client Commission Arrangements (CCAs) and Commission Sharing Agreements (CSAs) 2008 Sixth Annual Best Execution Symposium, Financial Research Associates, LLC and the Journal of Trading
    • January 2008
      Establishing Investment Management Operations in London, FRA Webinar Series, Financial Research Associates, LLC and Hedge Fund Business Operations Association
    • September 2007
      Conflicts of Interest: Side Letters, Side Pockets, Gifts and Personal Trading, The Annual Hedge Fund Business Operations Forum, Hedge Fund Business Operations Associations
    • June 2007
      Offshore Funds 101, Offshore Funds 2007, Structure, Compliance & Operations, Financial Research Associates, LLC and Legal Education Associates
    • May 2007
      Hedge Funds: Operational Risk Considerations, Operations Conference and Exhibit, Securities Industry & Financial Markets Association
    • March 2007
      Evaluate the Potential Impact of Unbundling for Firms of All Sizes, Soft Dollar Forum, Institute for International Research
    • October 2006
      Disclosure, 2006 NSCP National Membership Meeting, National Society of Compliance Professionals Inc.
    • June 2006
      SEC Registration and Other Regulatory Issues Impacting Hedge Funds & Alternative Investments Conference, Securities Industry Association
    • March 2006
      NASAA Forum on Hedge Funds, North American Securities Administrators Associations
    • February 2006
      SEC Expectations for Best Expectations, and Trends and Reforms Affecting Soft Dollars, 4th Annual Best Execution Symposium, Financial Research Associates LLC
    • January 2006
      The Key Elements of a Successful Compliance Program and Hot Topics Roundtable, The 4th Annual Investment Adviser Compliance Forum, Financial Research Associates, LLC
    • September 2005
      Best Practices Panel Discussion, 2005 SIA Hedge Funds & Alternative Investments Conference, Securities Industry Association
    • July 2005
      Current Regulatory and Tax Developments Impacting Private Investment Funds and Their Advisers, Institutional Real Estate Investing Forum, ALM Media Properties, LLC
    • July 2005
      Overview of Soft Dollar Issues for Advisers, Hedge Funds and Others - The "Buy Side", Soft Dollars Workshop, Glasser LegalWorks
    • July 2005
      Current Regulatory and Tax Developments Impacting Private Investment Funds and Their Advisors, 2005 Alternative Investment Roundup, Strategic Research Institute
    • June 2005
      New and Prospective Regulatory Developments: What Comes Next For Hedge Fund Executives?, Best Practices for Hedge Funds, American Conference Institute
    • May 2005
      SEC Examinations: Minimizing Your Risk of an Investigation and Applying Best Practices During an Audit, IIR Hedge Funds Regulation and Compliance 2005 Conference, Institute for International Research
    • May 2005
      Hedge Fund Compliance: What You Need To Know For 2006, The 3rd Annual Investment Adviser Compliance Forum, Financial Research Associates, LLC
    • April 2005
      The Impact of New SEC Regulation and Fiduciary Implications, The 2nd Annual Fund of Funds Business Operations Forum, Financial Research Associates, LLC
    • April 2005
      Prognosticators' Predictions and Predilections: Where’s the Hedge Fund Industry Going?, Family Office/Hedge Fund Symposium – Hedge Fund Regulation/Compliance, Financial Research Associates, LLC
    • March 2005
      Examining the Effects of New Regulatory Developments on Hedge Fund Structured Products, Structured Products Association Annual Conference, Financial Research Associates, LLC
    • March 2005
      The State of Current and Future Soft Dollar Programs, IIR Soft Dollar Conference, Institute for International Research
    • 2005
      Selecting Structure and Jurisdiction to Optimize Fund Operations, FRA Webinar Series re Offshore Funds, Financial Research Associates, LLC
    • January 2005
      Surviving an Audit of Best Execution: Compliance with SEC Guidelines, Best Execution Conference, Financial Markets World
    • January/February 2005
      Trends and Reforms Affecting Soft Dollar and Directed Brokerage Arrangements, The 3rd Annual Best Execution Symposium, Financial Research Associates, LLC
    • January/February 2005
      Current Regulatory and Tax Developments Impacting Private Investment Funds and Their Advisers, The 7th Annual Private Equity Roundup, Strategic Research Institute
    • November 2004
      Understanding the Regulation of Hedge Funds and the Allocation of Securities, The 4th Annual Hedge Fund Regulation and Compliance Forum, Financial Research Associates, LLC
    • November 2004
      The Business Impact of Recent Regulatory Changes, SIA Compliance & Legal Division’s 2004 Seminar, Securities Industry Association)
    • November 2004
      Identifying Conflicts of Interest in an Investment Management Firm, Managing the Compliance Function: The Essential Elements of Good Compliance, Financial Research Associates, LLC
    • October 2004
      Building an Effective Compliance Program and Preparing for SEC Registration, The 3rd Annual Fund of Funds Forum, Financial Research Associates, LLC
    • August 2004
      Portfolio Management and Trading Policies, Countdown to Compliance: Workshop & Roundtable, Investment Advisers Week
    • July 2004
      Understanding the SEC's Requirements on Portfolio Management and Trading Policies, Complying with the New Adviser Compliance Rule 206(4)-7, Financial Research Associates, LLC
    • May 2004
      The SEC Staff Report on Hedge Funds and Workshop on Hedge Fund Regulation, The 3rd Annual Conference: Hedge Fund Regulation and Compliance, Financial Research Associates, LLC
    • May 2004
      Hedge Funds – Hot Issues, SIA Compliance & Legal Division's Chicago Regional Seminar, Securities Industry Association
    • May 2004
      The 2004 Investment Adviser Compliance Forum, co-chair of conference, Financial Research Associates, LLC
    • March 2004
      Soft Dollar Regulation and Regulatory Developments, and the Obligations of Broker-Dealers and Money Managers, The 11th Annual Directed Brokerage and Soft Dollar Practices Forum, Institute for International Research
    • March 2004
      Broker-Dealers and Hedge Funds. (Capital Introduction, Principal Transactions, Soft Dollars and Custody), SIA Compliance & Legal Division’s 2004 Annual Seminar, Securities Industry Association
    • November 2003
      Fund of Funds Regulation Workshop, Fund of Funds Business Operations Forum, Financial Research Associates, LLC
    • October 2003
      Fund of Funds Regulation Workshop, Hedge Fund Compliance and Regulation Conference, Financial Research Associates, LLC
    • September 2003
      Soft Dollar Regulatory Developments, Chair of Conference and Speaker, Hedge Fund Regulatory and Compliance Forum, IBC USA Conferences, Inc.
    • July 2003
      The Responsibilities of Broker-Dealers in Connection With Soft Dollars; Workshop on Soft Dollar Compliance, Putting Commission Dollars to Work: Soft Dollars, Directed Brokerage, and other Commission Recapture Practices, Financial Research Associates, LLC
    • June 2003
      The Future of Hedge Fund Marketing and Regulation, The 2003 Alternative Investors Limited Partners Summit, The Private Equity Analyst
    • May 2003
      The SEC's Private Investment Funds Fact-Finding Investigation; Conducted a Workshop on Investment Advisers Act compliance, The 2003 Investment Adviser Compliance Forum, Financial Research Associates, LLC
    • April 2003
      Selected Regulatory Issues Relating to Hedge Funds, NRS Spring Compliance/Risk Management Conference, National Regulatory Services
    • April 2003
      Overview of Hedge Fund Regulation and Selected Trading Issues, SIA Compliance & Legal Division’s 2003 Seminar, Strategic Research Institute
    • February 2003
      The Regulation of Soft Dollars; Conducted a Workshop on Soft Dollar Compliance, The 10th Annual Directed Brokerage & Soft Dollar Practices Forum, Institute for International Research
    • January 2003
      The Regulation of Private Investment Funds, The 5th Annual Private Equity Roundup 2003. Key Issues in the Regulation of Private Investment Funds, Strategic Research Institute
    • January 2003
      The Regulation of Private Investment Funds, 2003 Blue Ribbon Hedge Fund Symposium, Strategic Research Institute
    • December 2002
      The Regulation of Private Investment Funds, Fifth Annual Alternative Investing Summit, The Opal Financial Group
    • November 2002
      Best Execution, Implementing Effective Practices & Procedures to Comply with Execution Obligations, Institute for International Research
    • November 2002
      The Regulation of Soft Dollars and Best Execution, Soft Dollars and Other Brokerage Arrangements A to Z Workshop, Glasser LegalWorks
    • June 2002
      Alternative Products, The Fifth Annual Institute on Investment Management Regulation, Glasser LegalWorks
    • June 2002
      Hedge Funds and Best Execution, Sixth Annual Investment Advisors Compliance Conference, Glasser LegalWorks
    • June 2002
      Personal and Proprietary Trading Implications, Symposium on Investment Adviser Trading Practices: Best Execution and Beyond, National Regulatory Services
    • February 2002
      Regulation of Soft Dollars; Conducted a Workshop on Soft Dollar Compliance, Ninth Annual Directed Brokerage & Soft Dollar Practices Forum, Institute for International Research
    • January 2002
      Privately-Placed Registered Investment Funds, Tax-Efficient Investing, Institute for International Research
    • January 2002
      Regulation of Private Investment Funds, Co-chair of Conference and Speaker, Winning Legal and Tax Strategies for Private Investment Partnerships, Financial Research Associates, LLC
    • July 2001
      The Regulation of Soft Dollars; Conducted a Workshop on Soft Dollar Compliance, The Eighth Annual Directed Brokerage & Soft Dollar Practices Forum, Institute for International Research
    • June 2001
      Investment Adviser Trading Practices and Privately-Placed Registered Investment Funds, The Compliance Forum for Registered Investment Advisers and Hedge Fund Managers, Institute for International Research
    • May 2001
      Regulation of Private Investment Funds, Fifth Annual Investment Advisors Compliance Conference, Glasser LegalWorks
    • April 2001
      Regulation of Private Investment Funds, Successfully Operating an Asset Management Business
    • February 2001
      The Regulation of Soft Dollars, Seventh Annual Directed Brokerage & Soft Dollar Practices Forum, Institute for International Research
    • October 2000
      The Regulation of Private Investment Funds, ALI-ABA Course of Study on Investment Management Regulation, ALI-ABA
    • September 2000
      Form ADV disclosure, Complying with the New Electronic Form ADV Proposal - A Guide to Meeting Your Disclosure Obligations Under the New Form ADV, Institute for International Research
    • July 2000
      The Regulation of Soft Dollars, Sixth Annual Directed Brokerage & Soft Dollar Practices Forum, Institute for International Research
    • May 2000
      Regulation of Soft Dollars, Soft Dollars and Other Brokerage Arrangements Training Course, International Communications for Management Group
    • February 2000
      Regulation of Soft Dollars, Fifth Annual Directed Brokerage & Soft Dollar Practices Forum, Institute for International Research
    • October 1999
      Investment Adviser Trading Practices, Fifth Annual Investment Adviser Compliance Forum, Institute for International Research
    • October 1999
      Regulation of Private Investment Funds, Third Annual Institute on Investment Management Regulation, Glasser LegalWorks
    • October 1999
      Regulation of Private Investment Funds, Fifth Annual Advanced ALI-ABA Course of Study on Investment Management Regulation, ALI-ABA
    • May 1999
      Investment Adviser Trading Practices, Fourth Annual Investment Adviser Compliance Forum, Institute for International Research
    • November 1998
      Regulation of Private Investment Funds, Second Annual Institute on Investment Management Regulation, Glasser LegalWorks
    • October 1998
      Regulation of Private Investment Funds, Fourth Annual Advanced ALI-ABA Course of Study on Investment Management Regulations, ALI-ABA
    • October 1997
      Regulation of Private Investment Funds, First Annual Institute on Investment Management Regulation, Glasser LegalWorks
    • April 1996
      Investment Advisor Trading Practices roundtable presentation, Northeast Regional Meeting of the National Society of Compliance Professionals, National Society of Compliance Professionals
    • September 1993
      Checklist of Written Compliance Procedures for Investment Advisers, National Society of Compliance Professionals, National Membership Meeting, National Society of Compliance Professionals
    • June 1991
      Investment Adviser Disclosure, National Society of Compliance Professionals National Membership Meeting, National Society of Compliance Professionals

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