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2013 MMI Compliance & Legal Seminar

Posted on 05 May 2013

 June 12th, 2013 | Warwick Hotel | New York, NY

In this one-day conference—designed for senior business executives, chief compliance officers and their legal counsel—industry experts from manager and sponsor firms discuss the most challenging issues they face and their best practices with respect to compliance, marketing, due diligence, client communications, and distribution.

The regulation and oversight of the advisory solutions industry continues to evolve and upcoming changes will have a significant impact on how we do business. At this seminar, you will discuss the latest developments and connect with your fellow executives.

View the agenda and register today.

Events

2013 Fall Solutions Conference

Posted on 20 April 2013

October 14th – 15th | Grand Hyatt | New York, NY

Co-Chairs:
Steve Seifert, Edward Jones
Robert Tousignant, Federated Investors

More details to come.

Events

February, 2014 – MMI Sales & Marketing Leadership Summit

Posted on 19 April 2013

February 12th – 13th | Eden Roc | Miami, FL

Co-Chairs:
Noreen Beaman, Brinker Capital, Inc.
Gene Mulligan, Merrill Lynch

More details to come.

Events

MMI Midyear Report

Posted on 19 June 2012
MMI’s Midyear Report to
MMI’s Members

We have prepared this report on the most important initiatives and activities MMI has undertaken for our members and we welcome your comments and suggestions.

From:
  – Matt Witkos, Chairman, Board of Governors
 - Christopher Davis, President

  Download MMI's Midyear Report to MMI's Members (258.8 KiB)
Only members can have access to this file, if you are a member please login. If you don't have a user id and password, please email Elizabeth Bontrager ([email protected])

Events, News & Information

MMI Annual Compliance and Legal Seminar

Posted on 22 May 2012

MMI 2012 Annual Compliance
and Legal Seminar

————————————

Tuesday, June 12th
New York Athletic Club
180 Central Park South
New York, NY

 

Register Now

Co-Chairs

Lisa Detwiler, Managing Counsel at Lockwood, Pershing Managed Account Solutions

Steve Stone, Partner, Morgan Lewis & Bockius LLP

Compliance and legal issues are center-stage challenges for all securities firms from both an operational and a budgetary perspective. Mark your calendar and make plans to join us for an informative conference focused on the legal and regulatory issues compliance officers and their counsel are most concerned about. Learn about the likely impact of the Dodd–Frank Wall Street Reform and Consumer Protection Act, the changes being brought about by the accelerating introduction of alternative investments and other new products, and emerging broad policy developments.

This important one-day meeting is designed for senior business executives, chief compliance officers and their legal counsel. Industry experts will examine key business issues, including compliance, marketing, due diligence, and best practices implemented at manager and sponsor firms.

If you want to stay ahead of the ever changing compliance, legal and regulatory issues in the advisory solutions industry, this is one event you can’t afford to miss

Register Now

 

Events

Incorporating Fixed Income Separate Accounts into UMAs

Posted on 17 May 2012

Host
Bill Broderick
Edward Jones

Panelists

Robert Chiolan
BlackRock

Rob Klapprodt
Vestmark

Curt Overway Natixis/Managed
Portfolio Advisors

————-

Delivering fixed income strategies via SMA and UMA programs presents some unique challenges.  As UMAs have grown in sophistication, however, sponsors, managers, technology providers and overlay managers have begun to solve many of these issues. 

Hear from representatives from each of these areas as they discuss the innovations that have helped expand the capabilities of leading UMA programs.

Topics discussed:

  • The current landscape of fixed income usage in UMAs
  • The benefits of including fixed income separate account strategies in UMAs
  • Issues to consider when implementing fixed income strategies in UMA programs
  • Different approaches to including fixed income strategies in UMA

Download and listen to the presentation.

Presentation

  Net Meeting - Incorporating Fixed-Income into Unified Managed Accounts (UMAs) (749.7 KiB)


Click to access the audio

  Net Meeting Audio (unknown)

Money Management Institute | 1737 H Street NW, 5th Floor, Washington, DC | 202-822-4949 | www.moneyinstitute.com

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