Financial Services attorneys Jack Governale, David Dickstein and Christian Hennion will present Session I of this two-part panel discussion at 5:15 p.m. on Thursday, February 6. “Portfolio Management Issues” will address the following topics:
- compliance with investment guidelines and suitability;
- side-by-side management, allocations and personal trading;
- Regulation M Rule 105; and
- proxy voting.
Session II, “Trading Issues,” will take place on Thursday, February 20.