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Join Baker McKenzie regulatory and enforcement practitioners as we navigate this uncertain time and work together through the challenges ahead. We offer practical advice and real-time analysis of the changing landscape across the United States, Europe and Asia.

Webinar Series: The New Framework for Investment Adviser Marketing

In this 4-part webinar series, we provide an in-depth analysis of the SEC’s new framework for investment adviser marketing and the potential impact on your business. We discuss:

  • The new definition of an advertisement
  • The elimination of the cash referral fee rule and conditions for use of testimonials and endorsements
  • General prohibitions and disclosure obligations
  • Actual and hypothetical performance advertising
  • Compliance review and approval requirements.

January 6, 2021
The New Framework for Investment Adviser Marketing: An Overview
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Speakers: Jennifer Klass, Valerie Mirko, Jennifer Connors

January 13, 2021
The New Framework for Investment Adviser Marketing: Focus on Advertising
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Speakers: Jennifer Klass, Valerie Mirko, Jennifer Connors

January 20, 2021
The New Framework for Investment Adviser Marketing: Focus on Solicitation
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Speakers: Jennifer Klass, Valerie Mirko, Jennifer Connors

January 27, 2021
The New Framework for Investment Adviser Marketing: Focus on Private Fund Advisors
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Speakers: Jennifer Klass, Valerie Mirko, Jennifer Connors, Karl Egbert

Inform Global Discussion Series

June 11, 2020
Sustainability Finance: The Current State of Play in the United States
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Speakers: Peter Chan, Amy Greer, Jonathan Hoffman, Julian Hui, Jennifer Klass and Caitlin McErlane

May 28, 2020
Regulators Begin Active Response to COVID-19
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Speakers: Peter Chan, Amy Greer, Jennifer Klass and Jeffrey Sturgeon

May 14, 2020
Regulatory Updates with Our Colleagues in Asia
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Speakers: Jennifer Connors, Karl Egbert, Amy Greer, Stephanie Magnus, Karen Man and Mark Simpson

May 7, 2020
Trading Through a Crisis
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Speakers: Jennifer Connors, Karl Egbert, Mark Fitterman, Amy Greer, Caitlin McErlane and Mark Simpson

April 30, 2020
The Reopening Playbook – Featuring Partners from our Employment & Compensation Practice
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Speakers: Michael Brewer, William Dugan, Susan Eandi, Emily Harbison and Robin Samuel

April 23, 2020
Disclosure in the Time of COVID-19

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Speakers: Peter Chan, Amy Greer, Jennifer Klass, Caitlin McErlane, Nick O’Donnell, Mark Simpson and Jerome Tomas

April 16, 2020
Reg BI and Form CRS: Closing in on June 30th

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Speakers: Jennifer Connors, Amy Greer, Jennifer Klass and Valerie Mirko

April 9, 2020
Cybersecurity and Data Protection in a Remote Work Environment

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Speakers: Jennifer Connors, Amy Greer, Brian Hengesbaugh, Caitlin McErlane, Valerie Mirko, Mark Simpson, Benjamin Slinn and Harry Valetk

April 2, 2020
Recent Regulatory Developments & Looking Back on 2008: What Lessons Can We Learn from the Last Crisis?

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Speakers: Peter Chan, Amy Greer, Jennifer Klass, Caitlin McErlane, Valerie Mirko and Mark Simpson

March 26, 2020
Business Continuity for Firms and Regulators, Managing Market Volatility and Fund Manager Redemptions

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Speakers: Peter Chan, Karl Egbert, Amy Greer, Jennifer Klass, Caitlin McErlane, Valerie Mirko and Mark Simpson

Author

Peter K.M. Chan is a member of Baker McKenzie’s North American Financial Regulation and Enforcement Practice, which provides our clients with a full range of regulatory advice and enforcement counseling. Peter brings two decades of experience at the US Securities and Exchange Commission (SEC) to his litigation and counseling work. His tenure at the SEC, as well as a stint as Special Assistant US Attorney in the Northern District of Illinois, have given Peter experience with civil and criminal matters. At the SEC, Peter served as assistant regional director in the Chicago regional office, where he led investigations and litigations of high-profile enforcement cases. In the course of his SEC career, he handled corporate issuer disclosure and reporting violations, financial fraud, auditor independence violations, insider trading, broker-dealer misconduct and failure to supervise cases, hedge fund and investment company fraud, and Dodd-Frank and Sarbanes-Oxley violations. As the head of the Municipal Securities and Public Pensions Unit at the SEC's Chicago office, he oversaw cases involving municipalities and public pensions throughout the Midwest, including disclosure failures by states, cities, and underwriters in municipal bond offerings; pay-to-play and public corruption; and securities fraud victimizing municipalities and public pensions. Peter also served in national leadership roles within the SEC's Enforcement Division. Peter acted as national leader of the Municipalities Continuing Disclosure Cooperation (MCDC) Initiative. He also served as co-chair of the Priorities and Resources Subcommittee of the Division of Enforcement Advisory Committee and was one of the original architects of the SEC Financial Reporting and Audit Task Force. Peter's experience in criminal securities fraud cases includes serving as Special Assistant US Attorney in the Northern District of Illinois in a criminal investigation into market abuse by a Chicago broker-dealer, resulting in guilty pleas by several senior executives at the firm. In 2014, Peter received the SEC's prestigious Paul R. Carey Award for his [e]xceptional personal commitment and effectiveness as a member of the Division of Enforcement.

Author

Karl Paulson Egbert advises asset managers and their funds on regulatory, corporate and derivatives matters. Karl is a member of the Firm's North American Financial Institutions Steering Committee. Karl has practiced in New York, London, Hong Kong and Washington, D.C., working on fund formation, listed funds, private equity and capital markets transactions. Karl has spoken at various industry seminars on a wide range of topics including access to Chinese securities markets (Stock Connect, QFII, RQFII, CIBM), and other regulatory issues for investment managers. He is regularly quoted in publications including the Financial Times, the South China Morning Post, Ignites Asia, Asian Venture Capital Journal and Reuters. He is an adjunct professor of Law at the Georgetown University Law Center.

Author

Amy serves as the Co-chair of Baker McKenzie's North American Financial Regulation and Enforcement Practice, which provides our clients with a full range of regulatory advice and enforcement counseling. Amy also serves on the steering committees of the Firm's Global Financial Services Regulatory and Global Financial Institutions Groups. Previously, Amy has served as chief litigation counsel at the US Securities and Exchange Commission's (SEC) Philadelphia regional office and managed a team of lawyers overseeing a wide variety of enforcement matters.

Author

Brian Hengesbaugh is chair of the Firm's Global Data Privacy and Security Business Unit, a Member of the Firm's Global IP Tech Steering Committee, and a Member of the Firm's Financial Institutions' Group. Brian is listed in The Legal 500 Hall of Fame and was recognized as a Regulatory & Compliance Trailblazer by the National Law Journal. He is also listed as a Leading Lawyer for Cyber law (including data protection and privacy) in The Legal 500 and is listed in Chambers. Formerly Special Counsel to the General Counsel of the US Department of Commerce, Brian played a key role in the development and implementation of the US Government’s domestic and international policy in the area of privacy and electronic commerce. In particular, he served on the core team that negotiated the US-EU Safe Harbor Privacy Arrangement (Safe Harbor), and earned a Medal Award from the US Department of Commerce for this service. In addition, Brian participated on behalf of the United States in the development of a draft Council of Europe Treaty on Cyber Crime, and in the negotiation of a draft Hague Convention on Jurisdiction and the Recognition of Foreign Judgments. Brian has been quoted in the Wall Street Journal, New York Times, Forbes, CNET, Slate Magazine, Compliance Weekly, BNA Bloomberg, PCWorld and other news publications on global privacy and security issues.

Author

Jennifer L. Klass serves as the co-chair of Baker McKenzie's North America Financial Regulation and Enforcement Practice, which provides clients with a full range of regulatory advice and enforcement counseling. Jen is an experienced financial services regulatory lawyer with particular focus on investment adviser regulation and the convergence of investment advisory and brokerage services. She regularly represents clients before the US Securities and Exchange Commission (SEC), both in seeking interpretative guidance and in managing examination and enforcement matters.

Author

Julian is a senior associate in Baker McKenzie's Financial Services Group in London. Julian advises financial institutions including international and local fintechs, investment and retail banks, asset managers, investment advisers, payment services firms and product issuers on compliance with UK and European regulatory obligations. Julian also has experience in advising on the spectrum of regulated financial services and products including deposit products, payment accounts and electronic money products, consumer credit, insurance, derivatives, managed funds, structured debt and equities. Julian has completed a secondment to UBS AG and Western Union Business Solutions, in their in-house legal and compliance teams. Duties included advising equity derivatives, fixed income derivatives and equities teams on general commercial and regulatory issues. He is currently on secondment from the Australian offices of the Firm and has extensive experience with both Australian and English financial regulation.

Author

Karen Man is a partner in Baker McKenzie’s Financial Services group, leading the non-contentious Financial Services Regulatory practice. Her clients include global, Chinese and local banks, fund managers, brokers/dealers, money service operators and fintech firms. Karen is admitted to practice in Hong Kong, the UK, and Australia.

Author

Caitlin McErlane is a partner in Baker McKenzie’s Financial Services & Regulatory Group in the London office. Caitlin's practice focuses on advising a range of global financial institutions on complex and high value regulatory matters. She advises banks, major corporates, payment institutions and asset managers on navigating UK and EU financial services regulation. She has particular experience in advising clients on regulatory implementation projects, day-to-day compliance issues, and regulatory issues arising in the context of large-scale transactions. She also expertise in the areas of banking and wholesale financial markets regulation, in particular in the FX and fixed income space, alongside experience advising market infrastructure providers, including major international exchanges, trading platforms, clearing systems and payment services providers, on a variety of compliance issues. Caitlin is also a member of the Baker's ESG and sustainability taskforce, and advises a range of clients on the drafting and implementation of ESG policies and the implications of becoming a signatory to the UNPRI and the Stewardship Code. Caitlin is an authority on regulatory reforms in the sustainability space and sits on a number of trade association working groups. She has recently been interviewed by Climate Action on her work and is a frequent speaker on the subject.

Author

Nick O'Donnell is a partner in Baker McKenzie's corporate department in London. He has over 15 years' experience advising on a wide range of corporate finance transactions and is recognized in his field by The Legal 500. He has spent time on secondment with Goldman Sachs, Morgan Stanley, Macquarie and Mubadala. Although London based for the majority of his career, he has previously been located in Abu Dhabi and New York. He regularly publishes articles, and has been quoted and interviewed on the press and TV, on matters relating to the London market.

Author

Mark heads the Financial Services & Regulatory (FSR) practice group in London and co-leads the FinTech group. He also acts as Chair of the FSR practice for the EMEA region and sits on the Global FSR Steering Committee. Mark is ranked as a Leading Individual in Legal 500 2022 for Financial Services (Non-Contentious Regulatory) and is individually ranked in Chambers 2022 for FinTech. He is described in these publications as being "very knowledgeable" and "very approachable" with "a wonderful range of FinTech experience" and as someone who is "clear, commercial and pragmatic and understands all the issues in detail." He has authored a number of articles and contributions for leading journals and other publications, most notably the Journal of International Banking and Financial Law, the International Guide to Money Laundering Law and Practice, and A Practitioner's Guide to the Law and Regulation of Financial Crime.

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Benjamin Slinn is an Associate in Baker McKenzie's London office.

Author

Jeff Sturgeon is partner in the Employment & Compensation Practice group in Baker McKenzie's New York office. A skilled advisor and litigator, Jeff assists clients with their most complex employment matters.

Author

Jerome Tomas is Chair of the Firm's SEC and Financial Institutions Enforcement Group and has been recognized by Chambers for White Collar Crime & Government Investigations. He represents multinational companies faced with government investigations and conducts internal investigations to assess and remediate legal and compliance concerns in domestic and global operations. With his experience as a former member of the SEC Division of Enforcement’s Cyberforce, the agency’s internet and cyber fraud unit, Jerome regularly advises companies involved in data security breaches and incident response. Jerome now leads teams of lawyers to address government law enforcement perspectives and where necessary, meet and refute government legal theories of corporate and individual liability head-on, while also being pragmatic and business-oriented for management and boards to compete internationally.

Author