Advanced ALI CLE Course Collective Trust Funds Today: Recent Developments in Banking, SEC, and ERISA Regulation and Compliance Wednesday, May 13, 2015 New York (Thomson Hall) and Live Video Webcast Register online: www.ali-cle.org/cw036 6 CLE credit hours 7 CPE credit hours in Business Law This was an excellent course that helped to get me up-tospeed on collective trusts.... [I]t presented a nice blend of legal and business issues, and was valuable to both new and experienced practitioners. previous registrant The only comprehensive CLE program on collective investment trusts! Hear a distinguished faculty of leading banking, SEC, and ERISA lawyers and other investment professionals address key topics affecting collective trust funds today, including: CTFs, competing products, and new product design in the current marketplace ERISA issues, including fee disclosures and prohibited transaction exemptions (PTEs) marketing issues created by the use of websites, omnibus distribution platforms, and share class structures OCC regulatory update, including handbook revisions and exam focus key issues for investment advisers, such as new bank-maintained requirements and SEC developments Register now on-site attendance is limited!
Planning Chair (also on faculty) Clifford E. Kirsch Sutherland Asbill & Brennan LLP, New York Faculty Jeanne M. Belanger BlackRock, San Francisco Theresa M. Brunsman Counsel, Invesco Advisers, Inc., Louisville, Kentucky Sharon H. Ennis Senior Vice President, Reliance Trust Company, Atlanta Bruce Gallant Managing Director and Associate General Counsel, JPMorgan Chase Bank, N.A. Charles M. Horn Morgan, Lewis & Bockius LLP, Washington, D.C. Yasho Lahiri Sutherland Asbill & Brennan LLP, New York David W. Lauer Wells Fargo Law Department, San Francisco Kevin Lyman General Counsel, Institutional Division, Invesco National Trust Company, Atlanta Richard K. Matta Groom Law Group, Chartered, Washington, D.C. Joel Miller Asset Management Group Leader, Office of the Comptroller of the Currency, Washington, D.C. (invited) John Munch General Counsel, SEI Investments Distribution Co., Oaks, Pennsylvania Robert G. Muse SEI Trust Company, Oaks, Pennsylvania Donald W. Smith K&L Gates LLP, Washington, D.C. W. Mark Smith Sutherland Asbill & Brennan LLP, Washington, D.C. ALI CLE Program Attorney: Kevin J. O Connor (koconnor@ali-cle.org)
Program All times Eastern Time Wednesday, May 13, 2015 8:00 a.m. Registration and Continental Breakfast 8:55 a.m. Welcome and Announcements ALI CLE Staff Video Webcast Segment A $549 9:00 a.m. The Marketplace for Collective Trust Funds: CTFs and Their Competing Products Ms. Ennis and Mr. Muse 10:00 a.m. Networking and Refreshment Break 10:15 a.m. Recent Regulatory Trends and Developments Messrs. Horn, Matta, and M. Smith Structural Issues Muni Advisors 11:30 a.m. Fiduciary and Administrative Hot Topics Mss. Belanger and Brunsman and Mr. Lauer 12:00 noon Lunch with Faculty and Registrants (provided by ALI CLE) Video Webcast Segment B $549 2:30 p.m. The OCC Regulatory Agenda Messrs. Gallant and Miller Handbook Revisions Third Party Due Diligence/ Outsourcing The OCC Exam Program: Lessons Learned 3:30 p.m. Networking and Refreshment Break 3:45 p.m. Investment Management Issues Messrs. Kirsch, Lahiri, and Munch Third Party Advisers in the Collective Trust Fund Space SEC Rulemaking and Related Developments Structuring the Contractual Relationship between Parties Investments in Private Funds 5:00 p.m. Adjournment Total 60-minute hours of CLE instruction: 6 7 CPE credits in Business Law (live group and group-internet based programs) 1:30 p.m. Marketing and Distribution Activities Messrs. Lyman and D. Smith What Types of Information May Be Placed on Websites? Use of Related Performance Omnibus Distribution Platforms Share Class Structures Dealing with Shareholder Transition Issues
Here s what registrants said about recent presentations of this course: The overall topics were well focused and presented. The presenters were engaging and discussion was insightful. Great day! This was a fantastic course. The faculty was extremely knowledgeable on the subject matter and facilitated a very interesting and detailed discussion among the participants. Congratulations on a job well done. The subject matter and materials were relevant not overly technical but timely and helpful. Appreciated the faculty being present all day to continue discussions. Fantastic seminar! Extremely informative panel members. Outstanding materials. UPCOMING COURSE FROM ALI CLE... The Year in Employee Benefits: Insights and Strategies for Retirement, Health, and Executive Compensation Plans Attend in Washington, D.C. April 8-10, 2015 www.ali-cle.org/cw018 Attend in San Francisco April 22-24, 2015 www.ali-cle.org/cw026 FOLLOW US ON: Facebook: facebook.com/morethancle Twitter: @ALI_CLE Visit our Blog: Morethancle.org
ALI CLE s Forms Library Subscriptions Legal forms are designed to solve current client problems, and then adapt as clients and problems change. ALI CLE has collected thousands of forms, designed by the top practitioners in their fields and ready for you to adapt to your own clients concerns. All editable. All practice-tested. And now all available in subscription practice area libraries. Subscribe to a specific practice area within ALI CLE s Forms Library for as little as $99 per year, or subscribe to the entire library. Whichever option you choose, your annual cost will represent huge savings over buying the forms separately. Practice Area Libraries Available for Annual Subscription Banking Bankruptcy Business Organizations/Corporate Law Commercial Law/UCC Elder Law Employee Benefits Employment and Labor Law Environmental Estate Planning Land Use Real Estate Securities To learn more or subscribe: www.ali-cle.org/formslibrary ALI CLE s Forms Library: The Evolution of Higher Forms ON LOCATION: Maximize your CLE experience. Learn from the best and network with other serious practitioners. Register one person for this course and save 50% on all subsequent registrations from your organization. Call 800-CLE-NEWS (253-6397). FROM ALI CLE superb instruction and practical advice available in multiple formats providing numerous ways to further your knowledge while satisfying your CLE requirements WEBCAST: Can t attend on location? Register for the live webcast and participate by asking questions online, in real time, and get our famous course materials via searchable PDF. Interrupt the program at any time and catch up later with the free online archive. Get all the information you need, and satisfy your CLE needs, without leaving your office. $999 / $549 GROUP WEBCAST: Schedule a convenient group viewing of this course for two or more people and save on tuition. Provide your firm or department with access to the finest legal talent and train more people at a lower cost without the additional expense or time constraints of travel. Up to 30% off ON-DEMAND CLE: Online audio and/or video and searchable (PDF) course materials are available 24/7 for every course and course segment. Free to registrants DVD / CD-ROM / AUDIO MP3: Listen to ALI CLE s renowned courses in your car, home, or office on your computer, DVD player, or MP3 player at your own pace. $799 / $699 PRINT + DIGITAL COURSE MATERIALS ALI CLE s acclaimed course materials are available in print or electronically and can be purchased before or after the course. $149
HOW TO REGISTER online www.ali-cle.org/cw036 phone 1-800-CLE NEWS fax 215-243-1664 mail return the form on the back panel of this brochure to: REGISTRAR, ALI CLE, 4025 Chestnut Street, Philadelphia, PA 19104-3099 GET MANDATORY CLE AND CPE CREDIT Virtually all ALI CLE programs receive CLE credit in AK, AL, AR, AZ, CA, CO, DE, FL, GA, HI, IA, IL, IN, KS, KY, LA, ME, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, TN, TX, UT, VA, VT, WA, WI, and WV. Upon request, ALI-CLE will apply for CLE credit in ID, OR, and WY. This course is expected to qualify for 6 credits in 60-minute MCLE jurisdictions; and for 7.2 credits in 50-minute MCLE jurisdictions; the program does not offer any credits for ethics. In NY, the in-person course is appropriate for both newly admitted and experienced attorneys. For specific information on CLE, CPE, or other professional accreditation in your state, please e-mail the MCLE Team at TeamMCLE@ali-cle.org, go to http://www.ali-cle.org/mcle, or call 1-800-CLE-NEWS. NASBA ALI CLE is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors through its website: www.learningmarket.org. For more information regarding ALI CLE s administrative policies, such as complaint and refund, please call Customer Service at (800) CLE-NEWS. CPE credit hours for this course: 7 in Business Law (group-live and group-internet based programs). Learning Objectives: Acquisition of knowledge and skills to develop proficiency as a practitioner; maintenance of professional competence as a practitioner. Suggested Prerequisite: Limited experience in practice in subject matter and/or completion of Basic CLE/CPE course in subject matter. Level of Instruction: Advanced. CONFERENCE SITE The course will be presented at Thomson Hall, 4th Floor, 195 Broadway, New York, NY (Wall Street District). Complimentary WiFi is available in the meeting room. HOTEL ACCOMMODATIONS A very limited block of rooms has been reserved at the Millennium Hilton. Room rate: $359 per night, single or double occupancy. These rooms will be held as a block, unless exhausted, until April 13, at which time they will be released to the general public. Registrants must make their own hotel reservations and indicate that they are attending the ALI CLE program to qualify for rooms in the block. Room reservations may be made by calling the Millennium Hilton, 55 Church Street, New York, NY 10007; phone 212-312-2001. Confirmations will be sent by the hotel. Please read the cancellation policy carefully. Go to www.ali-cle.org/cw036 for more info about: registration/cancellation/requirements for persons with disabilities/scholarships USB DRIVES Registrants have the options of receiving their study material in a printed course book or in digital form on a USB drive. To receive a USB drive, registrants must select that option when they register. Go Green! Choose the USB drive! FOLLOW US ON: Facebook: facebook.com/morethancle Twitter: @ALI_CLE Visit our Blog: Morethancle.org Catch the fever. Create a buzz with social networking. Tweet today and interact with other course registrants and faculty. Consider posting new course topics and pose questions you have for the faculty. Or simply use this social networking tool to make lunch or dinners plans with others in attendance. #CollectiveTrustFunds2015
Collective Trust Funds Today: Recent Developments in Banking, SEC, and ERISA Regulation and Compliance Register online: www.ali-cle.org/cw036 Register today for the only comprehensive CLE program on collective trust funds! Collective trust funds, also called collective investment trusts, offer daily valuation and investment direction, as well as the potential for lower costs for qualified employee retirement plans. In fact, so plentiful are the benefits that many 401(k) plan sponsors have started offering CTFs as an alternative to (if not alongside) registered mutual funds. At this in-depth and advanced program on 2015 regulatory developments and trends in CTFs, you and fellow industry professionals will learn the key issues and topics in CTFs and why they are now the go-to investment vehicle for many plan sponsors. WHO SHOULD ATTEND Legal and compliance professionals involved in the creation and sale of CTFs, including bank counsel, securities lawyers, and ERISA counsel, as well as any business personnel seeking a better comprehension of the legal and compliance framework in which collective trust funds operate, will benefit from attending this course. ALI CLE CURRICULUM: SECURITIES Renowned for their sophistication and practicality, ALI CLE securities law courses cover the fundamentals and complexities in a variety of subject areas such as Regulation D offerings, fund compliance, the Uniform Commercial Code, the Dodd-Frank Act, Securities and Exchange Commission regulations, and the Jumpstart Our Business Startups Act. These celebrated programs are taught by the most distinguished faculty from across the country including top corporate counsel, regulators, federal judges, and officials from Financial Industry Regulatory Authority, the SEC, and the Department of Labor.
American Law Institute Continuing Legal Education 4025 Chestnut Street, Philadelphia, PA 19104-3099 NONPROFIT ORG U.S. Postage PAID ALI CLE KEY CODE CW036LM Name Title Firm Address City State Zip printed on FSC certified paper Online www.ali-cle.org/cw036 Phone 1-800-CLE NEWS FAX 215-243-1664 Mail Registrar, ALI CLE, 4025 Chestnut Street, Philadelphia, PA 19104-3099 Collective Trust Funds Today New York, NY, May 13, 2015 $1,199 Please enter registration(s): $1,199 CW036 Please provide my course materials as a (choose only one): USB drive Printed course book Please go green and order your study materials on a USB drive. To register additional on-location registrants at 5 0 %o ff, call 800-CLE-NEWS (253-6397). Video Webcast $999 / $549 Full program. Tuition: $999 WAW036 Webcast Segment A: $549 WAW036A Webcast Segment B: $549 WAW036B Can t attend? You don t have to miss anything! Order the: DVD (video), including a complimentary MP3 CD-ROM and PDFs of the course materials $799 AW036V Audio MP3 CD-ROM (including PDFs of the course materials) $699 AW036 Printed course materials only $149 SW036 Partial Scholarships Scholarships covering 30% of tuition fees, valid for on-site courses, live webcasts, and webcast segments only, are available. Scholarships cannot be combined with other offers. I am a full-time employee of the federal, a state, or a local government or governmental agency. I am a recent law school graduate (<5 years). I am a retired senior lawyer (65 or older). $ Total Check enclosed (payable to ALI CLE) Please charge to my credit card: AMEX DISCOVER MasterCard VISA Card no.: Card expiration date: / SIGNATURE E-MAIL ADDRESS (REQUIRED FOR WEBCASTS AND ONLINE SUBSCRIPTIONS) CW036