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      Feb

      25

      Navigating Securities Law Issues Regarding Separately Managed Accounts (SMAs)

      1 PM EST

      In The Know CLE Series | A distinguished panel of law firm partners, in-house attorneys, and industry professionals will provide an in-depth discussion on SMAs (and funds-of-one), highlighting key legal considerations and best practices that counsel advising SMA providers should prioritize.

      Select your state to learn more about the credit details and status of CLE application. Credit is not available for states not listed.

      1.50 total credit hours including

      • General

        Status:

        Approved

        1.50 credit hours

        Available until:

        02/24/2028

      1.50 total credit hours including

      • General

        Status:

        Available for credit

        1.50 credit hours

        Available until:

        02/24/2028

      1.50 total credit hours including

      • General

        Status:

        Available for credit

        1.50 credit hours

        Available until:

        02/24/2030

      1.50 total credit hours including

      • General

        Status:

        Approved

        1.50 credit hours

        Available until:

        06/30/2055

      1.50 total credit hours including

      • Substantive Law

        Status:

        Available for credit

        1.50 credit hours

        Available until:

        02/24/2028

      1.50 total credit hours including

      • General

        Status:

        Approved

        1.50 credit hours

        Available until:

        02/24/2028

      2.00 total credit hours including

      • General

        Status:

        Applied for

        2.00 credit hours

        Available until:

        12/31/2027

      1.50 total credit hours including

      • General

        Status:

        Available for credit

        1.50 credit hours

        Available until:

        02/24/2028

      1.50 total credit hours including

      • General

        Status:

        Applied for upon completion

        1.50 credit hours

        Available until:

        02/24/2026

      2.00 total credit hours including

      • General

        Status:

        Self apply

        2.00 credit hours

        Available until:

        08/24/2026

      1.50 total credit hours including

      • General

        Status:

        Applied for

        1.50 credit hours

        Available until:

        02/24/2028

      1.50 total credit hours including

      • General

        Status:

        Applied for

        1.50 credit hours

        Available until:

        02/24/2028

      1.50 total credit hours including

      • General

        Status:

        Approved

        1.50 credit hours

        Available until:

        02/24/2028

      1.50 total credit hours including

      • General

        Status:

        Approved

        1.50 credit hours

        Available until:

        02/24/2027

      1.50 total credit hours including

      • General

        Status:

        Self apply

        1.50 credit hours

        Available until:

        02/24/2030

      1.50 total credit hours including

      • General

        Status:

        Approved

        1.50 credit hours

        Available until:

        02/24/2027

      1.50 total credit hours including

      • General

        Status:

        Applied for

        1.50 credit hours

        Available until:

        12/31/2025

      1.50 total credit hours including

      • General

        Status:

        Applied for upon completion

        1.50 credit hours

        Available until:

        02/24/2030

      1.50 total credit hours including

      • General

        Status:

        Applied for upon completion

        1.50 credit hours

        Available until:

        02/24/2026

      1.50 total credit hours including

      • General

        Status:

        Applied for upon completion

        1.50 credit hours

        Available until:

        06/30/2025

      1.50 total credit hours including

      • General

        Status:

        Applied for upon completion

        1.50 credit hours

        Available until:

        02/24/2026

      1.50 total credit hours including

      • General

        Status:

        Applied for upon completion

        1.50 credit hours

        Available until:

        02/24/2027

      1.50 total credit hours including

      • General

        Status:

        Applied for

        1.50 credit hours

        Available until:

        02/24/2027

      1.50 total credit hours including

      • General

        Status:

        Applied for

        1.50 credit hours

        Available until:

        02/24/2028

      1.80 total credit hours including

      • General

        Status:

        Applied for

        1.80 credit hours

        Available until:

        02/24/2030

      1.50 total credit hours including

      • General

        Status:

        Self apply

        1.50 credit hours

        Available until:

        02/24/2028

      1.50 total credit hours including

      • General

        Status:

        Self apply

        1.50 credit hours

        Available until:

        02/24/2027

      1.50 total credit hours including

      • General

        Status:

        Applied for upon completion

        1.50 credit hours

        Available until:

        12/31/2028

      1.50 total credit hours including

      • General

        Status:

        Available for credit

        1.50 credit hours

        Available until:

        02/24/2028

      1.80 total credit hours including

      • General

        Status:

        Reciprocity

        1.80 credit hours

        Available until:

        02/24/2028

      1.50 total credit hours including

      • General

        Status:

        Approved

        1.50 credit hours

        Available until:

        02/24/2030

      1.50 total credit hours including

      • Areas of Professional Practice

        Status:

        Approved

        1.50 credit hours

        Available until:

        02/24/2028

      1.50 total credit hours including

      • General

        Status:

        Self apply

        1.50 credit hours

        Available until:

        02/28/2026

      1.50 total credit hours including

      • General

        Status:

        Approved

        1.50 credit hours

        Available until:

        02/24/2028

      1.50 total credit hours including

      • General

        Status:

        Approved

        1.50 credit hours

        Available until:

        02/24/2028

      1.80 total credit hours including

      • substantive legal education and skills development

        Status:

        Available for credit

        1.80 credit hours

        Available until:

        02/24/2029

      1.50 total credit hours including

      • General

        Status:

        Applied for

        1.50 credit hours

        Available until:

        12/31/2025

      2.00 total credit hours including

      • General

        Status:

        Applied for

        2.00 credit hours

        Available until:

        02/24/2028

      1.50 total credit hours including

      • Substantive

        Status:

        Available for credit

        1.50 credit hours

        Available until:

        02/24/2028

      1.50 total credit hours including

      • General

        Status:

        Applied for upon completion

        1.50 credit hours

        Available until:

        02/24/2028

      1.50 total credit hours including

      • General

        Status:

        Approved

        1.50 credit hours

        Available until:

        02/24/2027

      1.50 total credit hours including

      • General

        Status:

        Approved

        1.50 credit hours

        Available until:

        02/24/2027

      1.50 total credit hours including

      • General

        Status:

        Available for credit

        1.50 credit hours

        Available until:

        02/24/2028

      1.50 total credit hours including

      • General

        Status:

        Applied for upon completion

        1.50 credit hours

        Available until:

        02/24/2030

      1.50 total credit hours including

      • General

        Status:

        Applied for upon completion

        1.50 credit hours

        Available until:

        02/28/2053

      1.50 total credit hours including

      • General

        Status:

        Applied for

        1.50 credit hours

        Available until:

        02/24/2026

      1.50 total credit hours including

      • General

        Status:

        Applied for

        1.50 credit hours

        Available until:

        01/24/2026

      1.50 total credit hours including

      • General

        Status:

        Applied for upon completion

        1.50 credit hours

        Available until:

        02/24/2028

      1.50 total credit hours including

      • General

        Status:

        Approved

        1.50 credit hours

        Available until:

        02/24/2028

      1.80 total credit hours including

      • General

        Status:

        Approved

        1.80 credit hours

        Available until:

        02/24/2028

      1.50 total credit hours including

      • General

        Status:

        Applied for

        1.50 credit hours

        Available until:

        10/31/2025

      1.50 total credit hours including

      • Law & Legal Procedure

        Status:

        Applied for

        1.50 credit hours

        Available until:

        02/24/2030

      1.80 total credit hours including

      • General

        Status:

        Applied for

        1.80 credit hours

        Available until:

        02/24/2028

      1.50 total credit hours including

      • General

        Status:

        Approved

        1.50 credit hours

        Available until:

        02/24/2026

      1.50 total credit hours including

      • General

        Status:

        Self apply

        1.50 credit hours

        Available until:

        02/24/2028

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      Separately managed accounts (SMAs) have been around since the 1970s, but have surged in popularity since 2020. Formerly a product geared towards institutional investors, SMAs are now increasingly marketed to individual investors. SMAs come in several different forms (e.g. funds-of-one, wrap fee programs) and offer distinct advantages, such as customized investment strategies, but do come with higher fees as compared to pooled vehicle investments. Both SMAs and funds-of-one involve a host of legal and regulatory issues, including fiduciary duties, compliance with the custody and marketing rules, and potential registration as an investment adviser. Our distinguished panel of law firm partners, in-house attorneys, and industry group professionals will discuss SMAs (and funds-of-one) in-depth and will illuminate the critical legal issues and best practices that counsel advising SMA providers should prioritize.

      Event Details

      Duration

      90

      Format

      Webinar

      Date

      Feb 25, 2025

      2025-02-25T13:00:00-05:00 2025-02-25T14:30:00-05:00 Navigating Securities Law Issues Regarding Separately Managed Accounts (SMAs)

      In The Know CLE Series | A distinguished panel of law firm partners, in-house attorneys, and industry professionals will provide an in-depth discussion on SMAs (and funds-of-one), highlighting key legal considerations and best practices that counsel advising SMA providers should prioritize.

      Sponsors

      Business Law Section

      Federal Regulation of Securities

      Panelists

      Christine Ayako Schleppegrell
      Gary J Ross
      Monique Botkin
      Ting He

      Additional Files & Links

      MCLE Information

      The ABA will seek 1.50 general CLE credit hours in 60-minute states, and 1.80 general CLE credit hours in 50-minute states. Credit hours are estimated and are subject to each state’s approval and credit rounding rules.

      View - MCLE Details

      Deaf/Hard of Hearing Attendees

      CART (Communication Access Realtime Translation) service provides instant accessibility for the deaf and hard of hearing by delivering the spoken word as a realtime stream of text. CART service for this program is firewall-friendly and works in almost any network environment with Internet access, and is compatible with all major web browsers.

      Read more about - Webinar Features

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