Stradley Ronon partner Ruth Epstein served as a panelist for the session, “Alternative Investment Strategies in the Registered Funds Space,” at the 2012 Mutual Funds and Investment Management Conference in Phoenix, AZ. According to Cindy Zarker of Cerulli Associates, who also participated on the panel with Ms. Epstein, “packaging alternative-investment strategies in 1940-Act fund vehicles is emerging as a top priority across the asset management landscape.” Ms. Epstein discussed the legal issues that arise for funds considering alternative strategies in each phase of the fund launch. The conference focused on recent and upcoming regulatory developments affecting funds, how the asset management business is changing and gaining insights into the SEC’s enforcement and compliance programs.
Ms. Epstein concentrates on complex issues faced by participants in the investment management and variable insurance products industries and counsels financial services clients on a broad range of regulatory, governance, product development and enforcement issues. She has more than 30 years of corporate, securities and financial services experience, including five years with the Securities and Exchange Commission in the Division of Enforcement and the Office of General Counsel.
* * *
Stradley Ronon partners Bruce G. Leto and Alison M. Fuller presented, “Securities Lending: Where We’ve Been, Where We’re Going,” at a Stradley Ronon sponsored luncheon held during the Investment Company Institute’s (ICI) 2012 Mutual Funds and Investment Management Conference in Phoenix. The presentation discussed the fundamentals, recent issues and the implications of the future of securities lending. The ICI Conference attracts more than 1,300 investment management professionals and focuses on recent and upcoming regulatory developments affecting funds.
As chair of Stradley Ronon’s investment management group, Ms. Leto oversees a 50-attorney practice dedicated to investment company clients. The nationally recognized practice serves as counsel to more than 700 separate funds with assets under management exceeding $1 trillion – including several of the largest investment company complexes in the country.
Ms. Fuller counsels investment companies, investment advisers and independent trustees on regulatory issues arising under federal and state securities laws. She also provides counsel to corporations regarding their potential status as investment companies under federal law. She is partner-in-charge of the firm’s Washington office.
* * *
Stradley Ronon attorneys Steven B. Davis, Patrick Reeder and Caitlin E. Oberst, and WeiserMazars partner Vincent Burke presented, “International Insurance Financial Regulation: A Journey Toward a Unified, Common Framework,” for the Insurance Society of Philadelphia. The presentation reviewed supervision of international insurance groups, the implementation of the NAIC’s amendments to the Model Holding Company Act, the International Association of Insurance Supervisors’ recent “ComFrame” framework and the current status of Solvency II implementation.
As chair of the firm’s insurance practice group, Mr. Davis along with colleagues Mr. Reeder and Ms. Oberst, represent property and casualty, liability and health insurers and intermediaries in regulatory, litigation and government affairs matters, and also provide counsel to insurance regulators in enforcement, policy and transactional matters.
* * *
Stradley Ronon partner Andrew Stutzman co-hosted the 8th National Forum on Residential Mortgage Litigation and Regulatory Enforcement on March 29 and 30, in Washington. The forum featured presentations from top litigators, in-house counsel, federal and state regulators and renowned jurists who discussed residential mortgage litigation and enforcement issues.
Mr. Stutzman also presented with his co-panelists “The Evolving Regulatory Landscape: Repercussions of Dodd-Frank and Adapting to the New Authority from the CFPG.”
As chair of the firm’s mortgage and lending litigation practice, Mr. Stutzman oversees a team of lawyers who represent financial services and other clients in litigation involving consumer and commercial loan transactions.