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A Primer for In-house Counsel on Investment Office Legal Issues

Designed for lawyers of nonprofit organizations, particularly those who are not active in investment office operations, this webinar will provide an introduction to the key legal and regulatory issues investment offices face. CLE credit is pending.

On Wednesday, February 10th at 12pm EST / 9am PST, RFG’s Deborah Prutzman and Daniel Berick of Squire Patton Boggs will offer key insights on:

  • Laws that apply to nonprofits.

  • How activities outside the investment office impact investment activities.

  • Investment office operations.

  • Laws that apply to persons operating in the U.S.

  • Laws that require reports to be filed.

  • Laws that apply when an investment office advises clients.

  • Requirements based on investment structures.

  • How different investments create different requirements.

Or copy and paste this URL in your browser to register:

If you have any specific questions you would like addressed in the program, please send them to Speakers

Deborah Prutzman is the Chief Executive Officer of the Regulatory Fundamentals Group LLC. Over the course of her career she has served as General Counsel to leading international financial services firms and as a partner at Paul, Weiss, Rifkind, Wharton & Garrison and Arnold & Porter. Deborah graduated from Columbia Law School, where she was on law review.

Daniel Berick is the Americas Chair of the Global Corporate Practice of Squire Patton Boggs. Dan focuses his practice on mergers and acquisitions, securities law, corporate finance and corporate transactional matters. He counsels public and privately held companies in cross-border and domestic mergers, acquisitions and dispositions; the issuance of equity and debt securities; securities law compliance; and general corporate matters. Dan regularly represents investment banking firms in public and private offerings of securities and in a wide range of other securities matters, including financial advisory engagements and fairness opinions. He also advises private equity and venture capital firms and family offices in connection with portfolio company investments, acquisitions and dispositions, fund formation and structuring, and securities and corporate law matters.

Dan received his undergraduate degree from Columbia University and his law degree from the University of Chicago.

The Regulatory Fundamentals Group helps clients proactively understand regulatory and legal issues (and solutions) that arise from engaging in investment activities. RFG represents clients that have approximately $150 billion in combined assets under management, including a consortium of the nation’s leading endowment investment offices. RFG advises clients through its weekly newsletter, white papers, webinar presentations, semi-annual programs, and its online knowledge management portal, RFG Pathfinder®.


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