Michael R.Butowsky

Of Counsel

(T) + 1.212.326.8375

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

  • MPLX completes $2.0 billion public offering of Senior NotesJones Day represented MPLX LP in connection with a public offering of $2.0 billion of Senior Notes, consisting of (i) $1.0 billion aggregate principal amount of Floating Rate Senior Notes due 2021 and (ii) $1.0 billion aggregate principal amount of Floating Rate Senior Notes due 2022.
  • Syndicate of leading banks complete €715 million share capital increase by Tikehau CapitalJones Day advised Berenberg, Credit Suisse, Natixis, BNP Paribas, Crédit Agricole Corporate and Investment Bank, and Société Générale, as global coordinators, joint lead managers and joint bookrunners, and Citigroup and RBC Capital Markets, as joint lead managers and joint bookrunners, in connection with the €715 million share capital increase without shareholders' preferential subscription rights and with a priority subscription period for existing shareholders by Tikehau Capital, an asset management and investment group.
  • USI Insurance Services acquires Chernoff Diamond & Co., LLCJones Day advised USI Insurance Services in its acquisition of New York-based retirement, benefits and risk management advisory firm, Chernoff Diamond & Co., LLC.
  • Goldman Sachs provides credit facility to CredijustoJones Day represented Goldman Sachs in connection with a credit facility provided to Credijusto, a Mexican financial technology firm.
  • MPLX completes $2.25 billion public offering of Senior NotesJones Day represented MPLX LP in connection with a public offering of $2.25 billion of Senior Notes, consisting of (i) $750 million aggregate principal amount of 4.800% Senior Notes due 2029 and (ii) $1.5 billion aggregate principal amount of 5.500% Senior Notes due 2049.
  • Great Elm Capital Group acquires Valley Healthcare Group and Northwest Medical for $63.6 millionJones Day advised Great Elm Capital Group, Inc. in the $63.6 million acquisition and combination of Valley Healthcare Group and Northwest Medical to create a leading regional provider of sleep and respiratory-focused durable medical equipment and services across five states in the U.S., serving approximately 70,000 patients annually.
  • Singapore Exchange invests in TrumidJones Day advised Singapore Exchange (SGX) in its acquisition of a minority stake in Trumid, a NYC-based financial technology company and electronic trading platform for corporate bonds.
  • National Fuel Gas completes $300 million registered public offering of 4.75% NotesJones Day represented National Fuel Gas Company in connection with its registered public offering of $300 million of 4.75% Notes due 2028.
  • Morgan Stanley acts as initial purchaser in $100 million Rule 144A offering by FS Global Credit Opportunities FundJones Day represented Morgan Stanley & Co. LLC, as initial purchaser, in connection with a $100 million Rule 144A offering by FS Global Credit Opportunities Fund, a leading asset manager dedicated to helping individuals, financial professionals, and institutions design better portfolios, consisting of Term Preferred Shares, Series 2023 - Fixed Rate and Term Preferred Shares, Series 2023 - Floating Rate.
  • DV4 and Oxford Properties form DOORJones Day advised DV4 Ltd (“DV4”), which is advised by Delancey Real Estate Asset Management Ltd, on the sale of DV4's interests in Get Living, the UK’s leading privately backed residential company, to Delancey Oxford Residential (“DOOR”) a new co-investment platform with initial capital commitments of £600 million; the establishment of DOOR, which includes the joint venture between DV4 and Oxford Properties; and on real estate matters related to the London scheme, Elephant Central in Elephant and Castle which is part of the Get Living portfolio.
  • Canacol Energy completes $320 million International Offering of Senior NotesJones Day represented Canacol Energy Ltd., a vertically integrated, publicly listed, international energy company engaged in the acquisition, development, exploration, and production of crude oil and natural gas, in connection with a Rule 144A and Regulation S offering of $320 million aggregate principal amount of 7.25% Senior Notes due 2025.
  • MPLX completes $5.5 billion public offering of Senior NotesJones Day represented MPLX LP in connection with a public offering of $5.5 billion of Senior Notes, consisting of (i) $500 million aggregate principal amount of 3.375% Senior Notes due 2023, (ii) $1.25 billion aggregate principal amount of 4.000% Senior Notes due 2028, (iii) $1.75 billion aggregate principal amount of 4.500% Senior Notes due 2038, (iv) $1.5 billion aggregate principal amount of 4.700% Senior Notes due 2048, and (v) $500 million aggregate principal amount of 4.900% Senior Notes due 2058.
  • Orocobre Limited secures AUD$361 million funding through private placement and underwritten accelerated entitlement offerJones Day represented Orocobre Limited, a leading lithium chemicals producer, in connection with its AUD$361 million capital raising, comprising of a AUD$282 million private placement to Toyota Tsusho Corporation and an underwritten entitlement offer raising AUD$79 million.
  • Investment manager sets up cryptocurrency hedge fundJones Day is assisting an investment manager in setting up a cryptocurrency hedge fund, including setting up corporate form and complying with relevant U.S. and state securities regulations.
  • KeyBanc Capital Markets acquires Cain BrothersJones Day advised KeyBanc Capital Markets Inc., the corporate and investment banking unit of KeyCorp, in its acquisition of Cain Brothers & Company LLC, a healthcare focused investment banking and public finance firm.
  • Leading Chilean investment firm registers as U.S. investment adviser with SECJones Day is assisting a leading Chilean investment firm in obtaining registration with the SEC to become a U.S. registered investment adviser.
  • Church's Chicken completes $210 million private placement of Senior Secured Notes in whole-business securitizationJones Day advised Cajun Operating Company d/b/a Church's Chicken, a quick-service restaurant chain, in connection with a whole-business securitization consisting of the issuance of $185 million of Fixed Rate Senior Secured Notes and $25 million of Senior Secured Variable Funding (Revolving) Notes in a transaction exempt from registration under Rule 144A and Regulation S.
  • PRO Securities LLC responds to inquiries by FINRA and SEC concerning plans to implement blockchain trading platformJones Day represented PRO Securities LLC, a broker-dealer/licensed alternative trading system, in inquiries by FINRA and the SEC concerning plans to implement a blockchain trading platform, including issues regarding compliance with books and records, custody, and trading obligations.
  • Autopistas del Sol, S.A. completes $300 million Rule 144A and Reg S offering and concurrent public offering of $50.75 million of Senior Secured Notes in Costa RicaJones Day represented Autopistas del Sol, S.A. in connection with a Rule 144A and Regulation S offering by Autopistas del Sol of $300 million aggregate principal amount of 7.375% Senior Secured Notes due 2030.
  • Wafra Capital Partners invests in Maritime Asset PartnersJones Day advised Wafra Capital Partners, Inc. regarding its investment in Maritime Asset Partners S.à r.l., a joint venture with Nergaard Investment Partners, Landmark Holdings Company, Arne Blystad, Nicholas Roos, and ASL.
  • 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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