PUBLICATIONS

The United States Approach to Conflicts of Interest:  Selected Topics on Managing Conflicts of Interest in Investment Management Firms, included in A Practitioner’s Guide to Conflicts of Interest in the Financial Services Industry, Sweet & Maxwell, London, 2012. 

Co-author, Second Circuit Rules Securities Fraud Claim of Mutual Fund Shareholders Relating to Affiliated Transfer Agent Arrangements May Proceed, But Upholds Dismissal of Breach of Fiduciary Duty Claim, Journal of Investment Compliance, June 2010.

Co-author, Overview of Fund Securities Lending Programs, The Banking Law Journal, July/August 2007.

Legal Developments – United States Investment Companies and Mutual Funds Newsletter, Committee I of the International Bar Association Section of Business Law, September 2001.

Private Investment Funds:  Business Strategies and Critical Legal Issues, ICAA Newsletter, March 2001.


speaking engagements

Cybersecurity Panel Discussion, CFA Society of Philadelphia & Investment Adviser Association, Philadelphia, PA, April 19, 2017.

Artificial Intelligence: How the Future Will Impact Your Business? K&L Gates LLP, Pittsburgh, PA, March 16, 2017.

2016 Investment Management Conference: Selected Regulatory Developments – Investment Advisers, K&L Gates, 
LLP, New York, NY, December 2016.

Introduction to UCITS, AIMSE 2015 Fall Conference – Global Distribution: Asset Management in 2020, New York, NY, October 2015.
 
'40 Act Funds Breakfast Seminar, SEI Investments, London, United Kingdom, December 2013. 

Alternatives 201: Practical Applications, Women in Investing Network of Philadelphia, Philadelphia, PA, October 2013. 

The Battle for Alternative Exposure: Can Mutual Funds Replace Hedge Funds? CFA Society of Philadelphia, Philadelphia, PA, May 2012.
 
Can 1940 Act Funds Provide Hedge Fund Exposures? At What Cost? CFA Society of Philadelphia and Mid-Atlantic Hedge Fund Association present: Investing in Hedge Funds in a Time of Uncertainty, Philadelphia, PA, October 2011.

A Review of SEC Enforcement Actions Stemming from Pricing Irregularities, Financial Research Association’s Compliance & Operational Best Practices for Hard-to-Value Securities & Portfolios Conference, New York, NY, March 2008. 

Ethical Issues for Investment Management Lawyers, Pennsylvania Bar Institute, Philadelphia, PA, February 2008. 

Adviser Advertising and Annual Compliance Reviews, Investment Advisers Association, New York, NY, November 2007.

Introduction to Hedge Fund Valuations, Pension Governance LLC, Philadelphia, PA, October 2007. 

Offshore Funds – Marketing/Distribution Compensation & Forms of the Arrangements, Financial Research Associates and Legal Education Association, “Offshore Funds: Structure, Compliance & Operations, New York, NY, June 2007. 

Securities Lending, 2007 Investment Companies' & Advisers' Compliance Program, Pennsylvania Bar Institute, April 18, 2007, Philadelphia, PA.

Offshore Funds – Marketing/Distribution Compensation & Forms of the Arrangements, Financial Research Associates’ 2006 Offshore Funds Structures, Compliance & Operations Summit, New York, NY, May 2006.

The SEC’s Rules Requiring Compliance Programs and Strategies for Risk Assessment, The 2006 Mutual Fund and Investment Adviser Compliance Program, Pennsylvania Bar Institute, Philadelphia, PA, April 2006.

“Adviser Advertising” and “Adviser Risk Assessment, Monitoring and Testing”, 2005 Investment Adviser Association Compliance Workshop, Boston, MA, October 2005.

Today’s Regulatory Environment, Investment Management Consultants Association – Alternative Investments Program, Philadelphia, PA, June 2005.

Managing Legal and Regulatory Issues for Hedge Funds, CFA Institute Annual Conference, Philadelphia, PA, May 2005.

Mutual Funds and Investment Adviser Compliance Programs, Pennsylvania Bar Institute and Philadelphia Compliance Roundtable, Philadelphia, PA, April 2005.

Fund Governance Issues, Mutual Funds and Investment Advisers in Crisis – The SEC Response, Pennsylvania Bar Institute, Philadelphia, PA, April 2004.

Form N-CSR, Certifications and Disclosure Controls and Procedures, Mutual Fund Compliance & Regulatory Summit, Boston, MA, January 2004.

Registered Funds of Funds: IRS Guidance on Insurance Products, Developing Structured Products for the U.S. Market, InfoVest 21 Conference, New York, NY, October 2003.

Hedge Fund Asset Allocation & Risk Management, Wharton Financial Institution Center, Philadelphia, PA, May 2003.

Anti-Money Laundering Risk Control for Hedge Funds, Advisers, and Others, National Regulatory Services 18th Annual Spring Compliance Conference, Tucson, AZ, April 2003.

Outlook for the Hedge Funds Industry in 2003, Mid-Atlantic Hedge Fund Association, Philadelphia, PA, March 2003.

Introduction to Hedge Funds, 2002 National Society of Compliance Professionals, Annual Membership Meeting, Washington, DC, October 2002.

Religiously Affiliated Institutions as Investors, Religion and Investing Symposium sponsored by Villanova University School of Law, Villanova, PA, April 2002.

Leveraging Technology for Knowledge Management, Institute for the International Research Conference: Outsourcing Technology for Private Equity Firms, New York, NY, October 2001.

Mutual Fund Basics, Fundamentals of International Legal Business Practice, International Bar Association, Nassau, Bahamas, July 1999.

Qualified Purchaser Pools – §3(c)(7) of the Investment Company Act of 1940, ABA Section of Taxation – Committee on Regulated Investment Companies, Washington, DC, May 1997.