January 25, 2019 Alert

Hi all,

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

This Issue’s Topics: 

  • FREE Beaxy Exchange Launch Party
  • FREE: ACG: The National Center for the Middle Market’s Q4 ‘18 Middle Market Indicator Webinar
  • FREE: Digital Asset Research 4Q18 Webinar
  • REMINDER: FREE: Chicago Bar Association Investment Management Subcommittee Meeting
  • REMINDER: Washington DC Compliance Roundtable: SEC OCIE Examination Priorities Webinar
  • FREE: NSCP: Everything You Want to Know About Alternative Credit Funds Webinar
  • IDC 2019: Fair Valuation Trends and Practices Webinar
  • FREE: Investment Network Meeting: Cybersecurity Compliance Education Session

Events:

FREE: Beaxy Exchange Launch Party
Saturday, January 26, 2019, 6:00-9:00 PM
Bottled Blonde, 504 N. Wells St., Chicago, IL

A celebration of the Beaxy Exchange launch and the innovative Chicago fintech scene!

FREE: ACG: The National Center for the Middle Market’s Q4 ‘18 Middle Market Indicator Webinar
Tuesday, January 29, 2019, 12:00-1:00 PM

Representing nearly 200,000 American companies in every industry nationwide, the U.S. middle market is an engine driving economic growth. With annual revenues ranging from $10 million to $1 billion, middle-market firms collectively generate one-third of U.S. private sector. But how did they fare in the fourth quarter of 2018?

Join ACG to hear Tom Stewart, executive director of the National Center for the Middle Market, discuss the recent release of the 2018 fourth quarter Middle Market Indicator. He will share what it shows and means for middle-market businesses, and those that work with them.

The webinar will cover: How are these firms currently performing in terms of revenue growth and job creation? Are they planning to hire? What is their future outlook? Challenges? What is the economic outlook for the middle market? and Year-over-year middle-market trend data compared to small and large firms.

To register, click here.

FREE: Digital Asset Research 4Q18 Webinar
Wednesday, January 30, 2019, 10:00-11:00 AM

The fourth quarter of 2018 shaped up as another noteworthy period for the cryptocurrency ecosystem. While prices took another leg down, there were many key technical advancements, regulatory updates, and business initiatives from traditional financial firms.

Topics will include: successful and unsuccessful investment strategies during the period; review of important technical developments for major cryptocurrencies; a look at the emerging decentralized finance (DeFi) stack; and 16 digital assets we think have technical merit amidst the industry downturn.

Our review turned up some very interesting findings that you won’t want to miss.

To register for the free webinar, please click here.

REMINDER: FREE: Chicago Bar Association Investment Management Subcommittee Meeting
Wednesday, January 30, 2019, 12:00-1:30 PM; Lunch will be provided
Stradley Ronon, 191 North Wacker Dr., 10th Floor Conference Room A, Chicago, IL

Discussion regarding issues that CBA Investment Management members have addressed in their practice. The speakers and topics covered will be: 

  • Mark Greer – Effects of the Government Shutdown on the IM Industry;
  • Nicole Kalajian – NFA’s Proposal for CPO Internal Control Systems;
  • Martha Frabizio – 2019 OCIE Examination Priorities;
  • John Ekblad – SEC Proposed Rule Changes for Fund of Funds Arrangements; and
  • Gabriella Leyhane – FINRA’s 2019 Risk Monitoring and Examination Priorities.

CLE credit (pending approval).

To register, click here.

REMINDER: Washington DC Compliance Roundtable: SEC OCIE Examination Priorities Webinar
Thursday, January 31, 2019, 1:00-2:00 PM

Join us for the SEC 2019 Examination Priorities Webinar. We will focus on the following exam priorities: (1) compliance and risk at registrants responsible for critical market infrastructure; (2) matters of importance to retail investors, including seniors and those saving for retirement; (3) FINRA and MSRB; (4) digital assets; (5) cybersecurity; and (6) anti-money laundering programs.

The presenters are Nicole Kalajian of Stradley Ronon and Jennifer Zordani of Zordani Law. The moderator is Marina Baranovsky of Scitus Consulting.

To register, click here.

FREE: NSCP: Everything You Want to Know About Alternative Credit Funds Webinar
Tuesday, February 5, 2019 1:00-2:00 PM

Join the National Society of Compliance Professionals (NSCP) and Alaric Compliance Services, LLC for a free webinar discussion on Alternative Credit Funds, the first in a series on Credit Products.

The demand for alternative pooled and/or structured credit products such as private funds, Business Development Companies (BDCs) and Collateralized Loan Obligation (CLO) vehicles, affording exposure to a growing spectrum of liquid as well as less liquid credit-based investment instruments has accelerated due to investors and their advisers searching for enhanced yields and active management of interest rate risks reducing traditional credit exposure and replacing it (treating “credit” as an asset class) with exposure to alternative credit strategies and products.

The complexity and varying liquidity and risk profiles of these products presents a number of compliance issues requiring the customization of compliance programs of SEC registered asset managers’ active in this space.  

The panelists for this discussion include: Guy Talarico, Alaric Compliance Services; Carl Rizzo, Alaric Compliance Services; and Joseph McDermott, THL Credit.

This webinar, the first in a three-part series, will discuss topics pertaining particularly to privately-offered alternative credit investment funds. The second and third presentations in the series will address, respectively, topics regarding BDCs and CLOs, dates to be announced.

To register, click here.

IDC 2019: Fair Valuation Trends and Practices Webinar
Wednesday, February 6, 2019, 1:00-2:00 PM

Gain insights into the results of Deloitte’s 16th annual Fair Valuation Pricing Survey and learn how your valuation processes compare with those of other fund groups.

Paul Kraft, a Deloitte partner and US mutual fund and investment adviser practice leader, will lead a discussion of valuation trends and common practices. Specific topics include: governance and oversight; board reporting; valuation risk management; pricing service providers; policies and procedures; and the latest in regulatory and market activity that affect pricing practices.

To register, click here.

FREE: Investment Network Meeting: Cybersecurity Compliance Education Session
Thursday, February 21, 2019, 4:15-5:00 PM, networking to follow
Stradley Ronon, 191 North Wacker Dr., 10th Floor Conference Room A, Chicago, IL

The Investment Network invites you to join Nicole Kalajian of Stradley Ronon and Erik Kellogg, CEO of inCyber Security, for a discussion on:

  • 2019 Cyber Compliance Priorities – what they mean for firms and what should firms focus on
  • Key 2018 Cyber Enforcement Actions – how they could have been avoided
  • “Correct” Level of Details in Cyber Policies
  • GDPR Overview
  • 2018 Financial Sector Breaches
  • Effective Cyber Training
  • Outsourcing of Security
  • Understanding Your Cyber Compliance Risks

Networking will immediately follow the session.

E-mail invitations have already been sent to Investment Network members. Didn’t get one?  RSVP directly here 

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