Davis Graham & Stubbs LLP is pleased to invite you to join us for the next installment of the Colorado Compliance Roundtable Breakfast Series. The series is open to all investment adviser compliance professionals and service providers. Each installment is designed to assist with a particular aspect of the evolving regulatory and business landscape.

This series offers a unique opportunity to exchange ideas, questions, and best practices with local compliance professionals, attorneys, and compliance consultants in an interactive, candid, small-group setting.

Like many other businesses, asset managers create, use, and license intellectual property (IP) every day. Some of this property belongs to the asset manager and some to others. Asset managers need to have a basic understanding of the kinds of IP that affect their businesses and how to properly use, protect, and safeguard that IP.

Issues to be addressed include:

• Can I trademark or copyright any aspects of my business – and if so, how?
• What are trade secrets?
• What business concerns exist in my intellectual-property-related agreements – such as those with my IT provider, my website developer, and others?
• How do I protect my IP (especially patentable IP), and how do I seek to ensure that I do not violate anyone else’s IP rights?
• What intellectual property issues affect my website, marketing collateral, and other parts of my business?

Our speakers for this program will include:

• Trent Martinet, Partner, Davis Graham
• Kevin Teng, Of Counsel, Davis Graham

Event Information

November 16, 2016

1550 17th Street
Suite 500
Denver, CO 80202

Breakfast | 7:30 AM
Program | 8:00-9:00 AM

Program Materials

Davis Graham and the Nevada Water Resources Association invite you to attend a half-day program focusing on topics, including:

Developments in Federal Water Regulation

– Jurisdictional Water Determinations
– Tribal Issues in Clean Water Act Permitting: The Dakota Access Pipeline

• Zach Miller, Partner, Davis Graham & Stubbs LLP
• Connie Rogers, Partner, Davis Graham & Stubbs LLP

Swimming in Alphabet Soup: Changes to FWS and BLM Regulations

• Rob Mathes, Partner, Davis Graham & Stubbs LLP
• Katie Schroder, Partner, Davis Graham & Stubbs LLP

Sage Grouse LUPA and Mineral Withdrawal Environmental Impact Statement

• J.J. Goicoechea, Chair, Sagebrush Ecosystem Program and Commissioner, Eureka County
• Laura Granier, Partner, Davis Graham & Stubbs LLP

Event Details

October 27, 2016

Breakfast | 7:30 AM
Program | 8 AM – 12 PM

5650 Riggins Court
Reno, NV 89502

Presentation Materials

Nevada and Northeastern California Greater Sage-Grouse Approved Resource Management Plan Amendment

CERCLA 108(b) Financial Responsibility

CERCLA Financial Assurance Market Study

Join your peers and Davis Graham attorneys for the fourth networking event in this series to discuss Colorado’s vibrant cleantech economy, climate issues, and sustainability.

Event Information

October 19
5:30-7:30 PM

Rhein Haus
1415 Market Street
Denver, CO 80202

Join Davis Graham, BKD, and your tech or other colleagues for an evening of networking, tech and other business talk, and of course, beer! We’ll be happy to discuss business, accounting, and legal issues that will help you protect, grow, and ensure your tech idea or business is a success.

Event Information

Thursday, November 10
5:30 – 7:30 PM

Epic Brewing Company
3001 Walnut Street
Denver, CO 80205

At this breakfast briefing we will discuss pending regulatory changes and current issues related to wildlife that will affect most renewable energy projects, including the US Fish and Wildlife Service’s new proposed compensatory mitigation policy for threatened and endangered species (currently open for public comment), pending proposed revisions to USFWS’s existing mitigation policy, the status of migratory bird and eagle permitting, and species to watch.

We will get an overview of Xcel’s future massive 600 MW five-county Rush Creek Wind Project in Colorado from the Invenergy LLC team developing Rush Creek.

We’ll also talk about development issues and common mistakes made that are unique to Colorado and steps to address them.

Speakers will include:

• Krista Jo Mann, Senior Business Development Manager, Invenergy LLC
• Ben Turner, Business Development Associate, Invenergy LLC
• Kathleen Schroder, Partner, Davis Graham
• Barbara Mueller, Partner, Davis Graham

Event Information

September 29, 2016

1550 17th Street
Suite 500
Denver, CO 80202

Breakfast | 7:30 AM
Program | 8-9:30 AM

Davis Graham & Stubbs LLP is pleased to invite you to join us for the next installment of the Colorado Compliance Roundtable Breakfast Series. The series is open to all investment adviser compliance professionals and service providers. Each installment is designed to assist with a particular aspect of the evolving regulatory and business landscape.

This series offers a unique opportunity to exchange ideas, questions, and best practices with local compliance professionals, attorneys, and compliance consultants in an interactive, candid, small-group setting.

Since 2000, the U.S. Securities and Exchange Commission and the Colorado Division of Securities have overseen registered investment advisers, including examining from time to time those advisers within their jurisdiction. These examinations can be sources of anxiety for investment advisers and their principals, both because of the general redeployment of staff resources from routine business activities and the specifics of the examination process.

Issues to be addressed include:

• What preparatory steps can be taken prior to an examination?
• What are best practices for the onsite portion of the examination?
• How should follow up requests be handled?
• How should a deficiency letter be addressed?
• What should an adviser consider when providing third parties with details about the exam?

Our speakers for this program will include:

• Lee Terry, Partner, Davis Graham
• Peter Schwartz, Partner, Davis Graham

Event Information

September 27, 2016

1550 17th Street
Suite 500
Denver, CO 80202

Program | 4:00-5:00 PM
Networking Reception | 5:00-6:00 PM

Presentation Materials

Please join us for a program that will focus on recent developments in state and federal law, including:

• Colorado’s Pregnancy Accommodation Law
• Colorado’s Law regarding Access to Personnel Files
• U.S. Department of Labor’s Final Rules to Update Overtime Regulations
• U.S. Department of Labor’s Employer’s Guide to the FMLA
• EEOC’s recent activities with respect to Retaliation, Wellness Programs, Leave as a Reasonable Accommodation, Pregnancy Discrimination, and Religious Discrimination
• SEC Recent Rulings on Waivers in Severance Agreements
• NLRB’s Recent Rulings on Non-Compete Agreements, Employee Handbooks and Joint Employment
• The new federal Defend Trade Secrets Act of 2016

Our speakers for this program are:

• Brett Painter, Davis Graham & Stubbs LLP
• Janet Savage, Davis Graham & Stubbs LLP
• Sybil Kisken, Davis Graham & Stubbs LLP

Event Information

September 22, 2016

1550 17th Street
Suite 500
Denver, CO 80202

Breakfast | 7:30 AM
Program | 8-9:30 AM

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Presentation Materials

Slide Show

Speaker Biographies

Brett Painter

Janet Savage

Sybil Kisken

Supporting Materials

Colorado Affirmation No More

Colorado Personnel File Law

Colorado Pregnancy Accommodation Law

Colorado Pregnancy Accommodation Sample Notice

EEOC on Bathrooms and Transgender Employees

EEOC on Leave as a Reasonable Accommodation

EEOC on Muslim Employees

EEOC on Pregnancy Discrimination

EEOC on Religious Discrimination

EEOC on Retaliation

EEOC on Wellness – Sample Notice

EEOC on Wellness Programs & ADA

EEOC on Wellness Programs & GINA

Federal Defend Trade Secrets Act

Federal Form 1-9 (expired but still in use)

Federal Minimum Wage Poster

Federal Polygraph Protection Act Poster

NLRB Miller v. Anderson Decision

NLRB Minteq International Decision

NLRB T-Mobile Decision

SEC BlueLinx Decision

SEC Health Net Decision

USDOL Employer’s Guide to FMLA

USDOL Summary of Final Rule on Overtime

Thirty years after the Supreme Court ruled that prospective jurors may not be struck from service based solely on their race, the underlying challenges of discrimination, fair play, and winning at all costs still threaten the integrity of each and every case tried to a jury. Please join our distinguished panelists for a discussion of where the law has come and where it may be going, the mechanics of jury selection itself, and the challenges presented for litigators, courts, and communities grasping with these issues.

Friday, August 26 | 12:00-1:00 PM

1550 17th Street, Suite 500
Denver, CO 80202

We are honored to introduce the following speakers:

• The Honorable Raymond P. Moore, United States District, Judge District of Colorado
• Mack Jenkins, Assistant United States Attorney, Central District of California, United States Department of Justice
• Joshua Lee, Assistant Federal Public Defender, Districts of Colorado and Wyoming
• Mari Newman, Partner, Killmer, Lane & Newman
• Christopher K. Pelham, Of Counsel, Jones Day
• Jason D. Schall, Attorney, Davis Graham & Stubbs, moderator

Of all the challenges we face in air quality planning and regulation, Ozone attainment, and implementation of the new, lowered federal standard (NAAQS) for Ozone, is perhaps the most daunting. This update features an Ozone-experienced regulator, planner, scientist, and legal counsel on the faculty, including:

• John Jacus, Partner, Davis Graham (Moderator)
• Chris Colclasure, Deputy Director, Air Pollution Control Division, CDPHE
• Ken Lloyd, Executive Director, Regional Air Quality Council (Denver)
• Dr. Russ Schnell, Deputy Director, NOAA ESRL GMD

The program will cover current issues being addressed in the moderate Ozone nonattainment rulemaking before the Colorado Air Quality Control Commission; the western regional picture regarding Ozone nonattainment and the challenge of the 2015 lowered Ozone NAAQS in certain parts of the western U.S.; and the coming transition from the 2008 to 2015 standards in the Denver and North Front Range nonattainment area, and its likely implications for Colorado, among other issues. As always, we will reserve time for audience questions and panelist interaction.

We hope you can join us for this timely and informative session!

Event Information

August 25, 2016

1550 17th Street
Suite 500
Denver, CO 80202

7:30 AM | Breakfast & Registration
8:00 AM | Program

Presentation Materials

So, you’re ready to turn your idea into a business? You have the business plan and generally know the path forward, except you aren’t entirely sure what legal matters you should address. From choosing a name and raising capital to hiring employees and protecting your ideas – there are a lot of potential legal land mines that can be avoided. We’ll discuss from a high-level some of the legal issues when it comes to starting and growing a business.

By the end of the session, you should have a basic understanding of:

• What types of legal entities to consider
• Various funding options
• Common employment issues
• Intellectual property protection alternatives
• Certain tax issues facing startups
• Possible exit strategies

Our speakers for this program will include:

• Trent Martinet, Partner, Davis Graham
• Ben Abell, Associate, Davis Graham

Presentation Materials