Chicago, Illinois THURSDAY, NOVEMBER 21, 2013 (All times Central Standard Time)

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1 8:30 am 8:45 am Welcome and Overview of the Program Presented by Alan Goldberg Mr. Goldberg s practice focuses on representing registered investment companies and their boards, investment advisers and sponsors to unregistered investment pools. Mr. Goldberg has experience handling all aspects of creating registered investment companies, and registering new investment advisers, including the establishment of compliance policies and procedures. He regularly prepares regulatory filings and applications on behalf of investment companies and investment advisers and has performed numerous comprehensive compliance reviews of investment advisers and investment companies. He routinely handles all aspects of investment adviser and fund merger transactions and all aspects of forming unregistered investment funds, including those that rely upon Section 3(c)(11) of the Investment Company Act. Mr. Goldberg is a frequent speaker on a variety of investment advisory, investment company and compliance topics. You may reach him at or 8:45 am 9:45 am Recent Developments in the Investment Company World Presented by Paul Dykstra, Paulita Pike and Rita Rubin Morgan Keegan Money Market Fund Proposals Focus on Intermediary Relationships Mr. Dykstra represents mutual funds or their boards throughout the country. He also counsels independent fund directors involved in corporate reorganizations and internal or SEC investigations. He is an adjunct professor at Northwestern University School of Law where he teaches a course, along with Paulita Pike, on mutual fund regulation. Mr. Dykstra and Paulita Pike were named Independent Counsel of the Year by Fund Directions in 2008 and Mr. Dykstra is a co-author of the Fund Director s Guidebook which is published by the American Bar Association. You may reach him at or 1 1

2 9:45 am 10:45 am Closed-End Fund Update Presented by David Glatz and Matthew F. Cohen Ms. Pike represents mutual funds and their boards as well as investment advisers and fund service providers throughout the country. Ms. Pike advises her clients on a broad range of issues including governance structures and practices, compliance issues, D&O/E&O matters, communications with the press, self-evaluations and industry best practices, fund service provider contracts and filings with the Securities and Exchange Commission, fund mergers and manager-of-managers arrangements, regulatory investigations and inquiries, and matters arising from the Investment Company Act of 1940 and the Investment Advisers Act of She is an adjunct professor at Northwestern University School of Law where she teaches a course, along with Paul Dykstra, on mutual fund regulation. Ms. Pike and Paul Dykstra were named Independent Counsel of the Year by Fund Directions in 2008 and You may reach her at or Ms. Rubin concentrates her practice in the investment management area, focusing on the representation of open-end and closed-end investment companies, investment company boards of directors, investment advisers and service providers in governance, regulatory and transactional matters. She has extensive experience in advising closed-end investment companies on issues relating to activist shareholders, proxy solicitations, tender offers, rights offerings, stock splits, stock exchange requirements and other regulatory matters. Ms. Rubin has worked with investment companies and their advisers on a range of matters including the formation, maintenance, reorganization and termination of open-end and closed-end investment companies, requests for no-action relief, exemptive applications and regulatory inspections and examinations. You may reach her at or Mr. Glatz concentrates his practice in corporate and investment management matters. As counsel to registered investment companies on securities law and regulatory matters, he advises clients on issues arising under the federal securities laws, including the Securities Act of 1933, the Securities Exchange Act of 1934 and the Investment Company Act of 1940, stock exchange rules and other regulatory issues. Mr. Glatz also has extensive experience working with acquirers and sellers in negotiated merger, asset and stock transactions, including public company acquisitions, private deals and divisional carve-outs. You may reach him at or com. 2 2

3 Mr. Cohen is an associate in the Chicago office. He focuses his practice on investment management matters. You may reach him at or 10:45 am 11:00 am Break 11:00 am 11:45 am Developments in Investment Management Litigation Presented by Stephen J. O Neil, John W. Rotunno, Kenneth E. Rechtoris, Peter G. Rush and Paul J. Walsen Mr. Rotunno, a partner in the Chicago office, concentrates his practice on complex and multi-district litigation, including securities and consumer class actions, investment company litigation, shareholder derivative litigation, merger and acquisition litigation, and fiduciary litigation. He also is experienced in distributorship litigation and commercial tort and contract cases, as well as accountant s liability and RICO actions. He has represented clients in valuation proceedings, including the valuation of a substantial interest in a founding NFL franchise, trade secret misappropriation cases, patent litigation, trust litigation, partnership disputes and estate litigation, and played a primary role in an internal investigation into the lending practices of a major national bank. You may reach him at or 3 3

4 Mr. O Neil is a partner in the Chicago office and an experienced trial lawyer with extensive jury and bench trial experience in federal and state courts, as well as significant arbitration trial experience in dozens of high-stakes arbitrations. He has tried cases arising out of contract and commercial disputes, corporate acquisitions and divestitures, false advertising, trade secret and unfair competition claims, and professional negligence. He has also served as lead counsel in major securities litigation and class action matters, including multi-district litigation. In addition to his arbitration experience as an advocate, Mr. O Neil also frequently serves as a neutral arbitrator. He has represented small businesses as well as the nation s most prominent Fortune 500 and Fortune 100 companies. Mr. O Neil s commercial litigation and arbitration practice often involves the representation of major manufacturers, especially in the consumer products industry, where he has prosecuted and defended claims involving some of the world s best-known consumer products. He recently represented one of the principal competitors in the hot dog industry in a highly publicized federal court false advertising trial. In the area of securities and fiduciary duty litigation, Mr. O Neil has represented issuers, investment advisers, collateral managers, officers, directors and trustees. He has litigated securities claims arising out of public filings, M&A transactions, collateralized debt obligations and investment advisory fees. He may be reached at or Mr. Rechtoris is a partner and trial lawyer in the litigation practice of the Chicago office. He has tried numerous jury and bench trials to conclusion in state and federal courts throughout the country. He has extensive experience in all aspects of commercial litigation, including complex contractual disputes, securities fraud, securities and consumer credit class actions, shareholder derivative actions, multi-district litigation, real estate disputes, partnership disputes, commercial tort cases, insurance coverage disputes and restrictive covenant litigation. Mr. Rechtoris litigation experience includes the representation of mutual funds and fund trustees, numerous Fortune 500 companies in securities, professional liability and commercial disputes, large insurance brokers, and Cook County in employment and governmental litigation. He also regularly handles appellate matters. He may be reached at or 4 4

5 11:45 am 12:45 pm Lunch and Networking Peter G. Rush is a partner in the Chicago office and a member of the Commercial Litigation Group. He has been involved in many aspects of commercial litigation in state and federal courts, both at the trial and appellate levels, and before arbitral forums. Mr. Rush has extensive experience in securities and Investment Company Act litigation including multi-district litigation, class actions and derivative suits. He has represented the former Chairman of the Securities and Exchange Commission, conducted internal investigations of publicly-traded companies, and presented more than 20 officers, directors, trustees and outside counsel in sworn testimony and informal interview before the Securities Exchange Commission. He has represented Fortune 500 companies, banking institutions, finance companies, mutual fund complexes, law firms, as well as officers, directors, and trustees of mutual fund boards on a variety of securities-related matters. His representations have included class actions and putative class actions in Colorado, Delaware, the District of Columbia, Indiana, Illinois, Maryland, New York, and Texas. He may be reached at or Mr. Walsen is a partner in the Chicago office who focuses his practice on a range of complex and multi-district litigation, including securities and shareholder derivative litigation, contract litigation, business torts, class action defense, probate and trust litigation, real estate litigation and construction litigation. He has represented clients in a broad variety of industries, including investment management, finance, real estate, manufacturing, insurance and professional services. He has extensive trial experience, and has obtained and defended against emergency temporary, preliminary and permanent injunctive relief in cases involving corporate acquisitions, real estate transactions, intellectual property and other types of claims. He may be reached at or 5 5

6 12:45 pm 1:30 pm Developments in the Hedge Fund Arena Presented by Donald S. Weiss and Carolyn A. Jayne Mr. Weiss focuses on alternative investments serving hedge fund managers, commodity pool operators, private equity advisers and institutional investors. He concentrates his practice on the business, corporate and regulatory needs of the investment management community and represents a variety of professional participants in the financial markets including investment advisers, commodity trading advisors, broker-dealers, introducing brokers, futures commission merchants and proprietary trading firms. Mr. Weiss also represents regulated entities and other market participants in disciplinary and enforcement matters before the Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority, National Futures Association, exchanges and state agencies. You may reach him at or Ms. Jayne advises investment advisers, broker-dealers, commodity pool operators and commodity trading advisors on regulatory and compliance issues in connection with the Securities Act of 1933, the Investment Advisers Act of 1940, the Commodity Exchange Act of 1936, various state securities laws, and regulations of the Financial Industry Regulatory Authority, the Commodity Futures Trading Commission and the National Futures Association. In particular, she routinely handles all aspects of forming public and private investment funds and registering new investment advisers, including establishing compliance policies and procedures. You may reach her at or 1:30 pm 2:15 pm Developments in CFTC/NFA Regulations Presented by Donald S. Weiss, Carolyn A. Jayne and Mark R. Greer Mr. Greer is an associate in the Chicago office. He concentrates his practice on representing registered investment companies, registered investment advisers and mutual funds boards of directors. He assists these clients to comply with the Investment Company Act of 1940, the Investment Advisers Act of 1940 and related rules and regulations. You may reach him at or 2:15 pm 2:30 pm Break 6 6

7 2 :30 pm 3:15 pm Investment Adviser Update Presented by Alan Goldberg, Mark R. Greer and Eric Lehmann Mr. Lehmann is an associate in the Chicago office. His practice is focused on investment management-related matters. You may reach him at or 3:15 pm 4:00 pm Recent Trends in SEC Examinations Presented by Alan Goldberg and Corey Zarse Mr. Zarse is an associate in the Chicago office. He counsels and represents clients on corporate and securities matters, with an emphasis on investment company and investment adviser matters. While earning his J.D./M.B.A., he helped found the Entrepreneurship Law Clinic and the three-year J.D./M.B.A program at Indiana University Bloomington. He also previously served as a PILI fellow at Indiana Legal Services. Mr. Zarse is a Certified Public Accountant. You may reach him at or 4:00 pm 4:30 pm Hot Topics Panel Presented by Alan Goldberg and Corey Zarse 7 7

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