August 16, 2018 Alert

Hi all,

Below are this week’s alerts for the Investment Network.  Enjoy! 

This Issue’s Topics: 

  • IAA Webinar: Investment Advisers, Elder Financial Abuse and the Senior$afe Act
  • REMINDER: Voice of Blockchain
  • FREE: Washington DC Compliance Roundtable – Jennifer M. Carr – U.S. Securities and Exchange Commission
  • ACG Chicago: Late Inning Investing: Navigating the Market in the Later Stages of an Economic Cycle
  • Chicago Booth Finance Roundtable – Is Cloud Computing the Solution for Your Business?
  • CBA: 2018 Golf Outing

Events:

IAA Webinar: Investment Advisers, Elder Financial Abuse and the Senior$afe Act
Thursday, August 23, 2018 2:00-3:15 PM

With enactment of the Senior$afe Act, investment advisers and other financial professionals have received a measure of relief in their increasingly challenging efforts to protect senior clients whom they suspect of being victims of elder financial abuse. Financial professionals now have a safe harbor from civil liability when reporting suspected cases of elder financial abuse to authorities – if they have received proper training from their employers.

IAA Special Counsel Paul Glenn will moderate the IAA webinar. A panel of experts will explore the latest legislative and regulatory developments and provide guidance on appropriate policies, procedures, and training in this area. Topics they will discuss include:

  • Elder Financial Abuse
  • Senior$afe Act
  • Adviser Policies and Procedures
  • Training
  • What to Expect from Adult Protective Services: State Issues

Panelists: Alan P. Goldberg, Stradley Ronon; Michelle L. Jacko, Jacko Law Group, PC; and Ronald Long, Wells Fargo Advisors

For more information, click here.

REMINDER: Voice of Blockchain
Friday, August 24, 2018 thru Saturday, August 25, 2018
Navy Pier, Chicago, IL 

Chicago Blockchain Project is hosting an intensive two-day conference for 5,000 people at Navy Pier, in Chicago. Leaders in blockchain, government and business will gather with influencers to share best practices and shape the conversation.  Voice of Blockchain advances Chicago as a global leader in the emerging field of blockchain technology where collaboration is incentivized through an ecosystem engineered to benefit individuals, small enterprises, and corporations.

For more information, click here

FREE: Washington DC Compliance Roundtable – Jennifer M. Carr – U.S. Securities and Exchange Commission
Thursday, September 6, 2018, 3:00-5:00 PM
Webcast in Chicago at the Offices of Stradley Ronon Stevens & Young, LLP, 191 N. Wacker Dr., Suite 1601, Chicago, IL 

Topic – SEC Enforcement Trends in Tips, Complaints and Referrals (TCR)

Agenda:

3:00-3:30 p.m. Registration
3:30-4:00 p.m. Webinar Broadcast
4:00-4:30 p.m. Q&A
4:30-5:00 p.m. Networking Reception 

Jennifer M. Carr is an attorney in the SEC Enforcement Division’s Office of Market Intelligence. Her current responsibilities include evaluation of Tips, Complaints and Referrals (TCR), with specialization in over-the-counter retail fraud, unregistered offerings and Foreign Corrupt Practices Act allegations. She also acts as liaison to the Office of Investor Education and Advocacy, the FCPA Unit and the Retail Strategy Task Force. In addition, Ms. Carr is part of a cross-agency team responsible for developing and implementing updates and changes to the TCR System. Prior to becoming part of OMI, Ms. Carr worked in the Broker Dealer Risk Office in Trading & Markets, and in Enforcement’s Office of Collections & Distributions. Before joining the SEC, Ms. Carr provided tax planning and transactional advice as an associate at a small law firm in Baltimore. She is a graduate of the University of Maryland School of Law, and has completed the SEC/Georgetown Securities & Financial Regulation Certificate program.

If you are interested in attending, please contact Kathy Petrusek (kpetrusek@stradley.com) for an invitation or RSVP using the email previously sent to IN members.

ACG Chicago: Late Inning Investing: Navigating the Market in the Later Stages of an Economic Cycle
Tuesday, September 11, 2018, 11:30 AM-1:15 PM
The Standard Club, 5th Floor Ballroom, 320 S. Plymouth Ct., Chicago, IL

After a period of protracted growth, how are debt and equity funds viewing:

  • opportunities in the current market?
  • factoring in potential recessionary risks?
  • viewing certain industries that are potentially at or near a cyclical peak (ie. Auto, building products)?
  • differentiating themselves given the proliferation of capital that has entered the markets?
  • remaining rational yet still deploying capital?
  • looking for signs in the portfolio that growth is slowing, & more

Join us for this timely discussion with Chrisanne Corbett, KPMG; David Dorfman, Industrial Opportunity Partners; Chip Grace, May River Capital; Grant Haggard, TwinBrook Capital Partners; and Andrew Worth, Fidus Investment Advisors.

For more information, click here.

Chicago Booth Finance Roundtable – Is Cloud Computing the Solution for Your Business?
Thursday, September 13, 2018, 6:00-8:00 PM
Gleacher Center, Room 206, 450 Cityfront Plaza Drive, Chicago, IL

Are using cloud solutions the right solution for your business and if so what constitutes an advisable level of cloud integration for business leaders to solve business needs including customer experience, operational efficiency, business growth, security, and/or increase margins? Join our three panelists for an in-depth discussion.  On the panel: Meenagi Venkat, IBM; Chris Youngren, Risetime; and Mel Heckman, West Monroe Partners.  The session will be moderated by Brian Alletto, West Monroe Partners.

For more information, click here.

CBA: 2018 Golf Outing
Tuesday, September 25, 2018, 12:00-8:00 PM
Harborside International Golf Course 11001 S Doty Avenue, East Chicago, IL 

The CBA’s 95th Annual Golf Outing is a terrific way to get involved with the CBA while enjoying an afternoon on the links (instead of behind your desk!). The fee includes 18 holes, golf cart, locker, lunch (sandwich and beverage), dinner, and door prizes. Not a golfer? Stop by the dinner!

For more information, click here

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