July 3, 2019 Alert

Hi all,

Below are this week’s alerts for the Investment Network.  Have a wonderful 4th of July  holiday!

This Issue’s Topics:

  • OPPORTUNITY: FIA Innovators
  • NRS: Chicago Investment Adviser Compliance Symposium 2019
  • 100 Women In Finance: Mentorship Speed Networking
  • Investment Network: Code Is Law – A Practical Primer on Software and Structured Data in Evidence
  • 24th Annual ACG Chicago Golf Outing


FIA Innovators
Applications Due August 9, 2019

Calling All Fintech Startups!

Show FIA how your company is shaping the future of the global derivatives markets and be named an FIA Innovator! Claim your spot in the Innovators Pavilion at FIA’s largest conference and trade show, the 35th Annual Futures & Options Expo.

FIA is looking for leading-edge companies that are harnessing innovations such as blockchain, machine learning, natural language processing, virtual reality, big data, cloud computing and social trading. Applying firms should be no more than five years old and have a product or prototype to showcase at Expo 2019.

Since 2015, the FIA Innovators Pavilion has helped more than 70 fintech startups showcase their products and services for participants in the cleared derivatives industry.

To apply, click here.


NRS: Chicago Investment Adviser Compliance Symposium 2019
July 16-18, 2019
The University of Chicago Booth School of Business, Gleacher Center, 450 N. Cityfront Plaza Dr., Chicago, IL

NRS is offering three days of interactive compliance education led by seasoned legal and compliance industry experts. Instructors will detail certain Advisers Act’s key sections, Form ADV and performance and advertising, and will share insight, perspective and practical advice about implementing strong internal controls that will support you and your firm’s compliance program. On day 3, courses are designed to give participants added opportunities to appreciate the nuances of the compliance profession through group discussions and interactive elements that highlight professional ethics, soft skills most useful in the compliance profession, and SEC examination and enforcement trends.

For the Form ADV Part 1 panel, Nicole Kalajian of Stradley Ronon, Megan Claucherty of Harris Associates L.P. and  Sarah Buescher of Investment Adviser Association will cover inaccurate and/or inadequate Form ADV disclosures, which are consistently cited in the SEC’s and many states’ list of “Top Deficiencies.” In this session, the panel will systematically walk through Form ADV Part 1 and examine disclosure requirements that impact all advisers (including private fund advisers). This session will also review the method of calculating “regulatory assets under management” (RAUM), re-examine the changes to the ADV Part 1A that became effective in 2018, and discuss how the SEC’s new custody guidance on first- and third-party transfers should be reflected on Form ADV.  Finally, the panel will provide guidance on correlating the information reported in Form ADV Part 1 to disclosures in Form ADV Part 2, as well as Annual Amendment filing requirements, key glossary terms, and common mistakes to avoid.

For more information, click here.

100 Women In Finance: Mentorship Speed Networking
Monday, July 29, 2019, 5:00 P.M. Registration (event begins promptly at 5:30 P.M., networking will follow)
Little Goat Diner, 820 W. Randolph St., Chicago, IL

Make a difference for women of the next generation through mentorship.

At the rooftop facilitated networking event, you will have the opportunity to expand your industry contacts and share lessons learned with those in the early stages of their finance careers in small group conversations. Participants will rotate after a few minutes and meet new potential mentors or mentees. If you find a positive and natural connection, you are encouraged to exchange contact information.

All 100WF members are invited to attend and socialize with your peers on both sides of the mentor/mentee status. Register your attendance as a mentor (greater than ten years of finance industry experience) or mentee (early-career professional). Snacks will be served; cash bar only.

The program will begin promptly at 5:30 PM; please allow time to get through building security and to register before the event begins. Those arriving after registration has closed will NOT be admitted and will be subject to a “No-Show Fee” (see below).

To RSVP as a mentor click here.  To RSVP as a mentee, click here.

Investment Network: Code Is Law – A Practical Primer on Software and Structured Data in Evidence
Thursday, August 8, 2019, 12:15-1:00 P.M. (bring your own lunch)
Stradley Ronon, 191 N. Wacker Drive, #1601, Chicago, IL

Harvard law professor Lawrence Lessig famously proclaimed in the late 1990s that “Code Is Law,” a maxim which continues to resonate along a variety of dimensions two decades later. This talk will examine one dimension along the nexus of code and law: Software, structured data, and related documentary evidence.

Software, structured data, and related evidence such as computer code, databases, and software project documentation may arise in the context of legal, investigatory, and regulatory compliance matters. Understanding the nature and import of such evidence can present significant challenges. This talk is intended for professionals, particularly in the financial, compliance and legal services spaces, who may encounter this kind of technical evidence and would benefit from a more robust understanding its potential roles and usage.

In this talk, a practical overview will be provided of potential roles and usage of technical evidence such as software and structured data in litigation, disputes, and investigations with a focus on financial markets. We’ll discuss various contexts in which such evidence may arise and the types of materials that may be available in an evidentiary context, as well as tools and techniques to summarize or visualize those materials, either for the purpose of internal review or for the production of demonstratives. Finally, we’ll review select regulatory guidance and compliance considerations for financial firms with respect to technical documentation.

Presented by: moderator Nicole Kalajian of Stradley Ronon; speakers: Dr. Collin Starkweather of Starkweather Economics, LLC and Dr. Izzy Nelken of Super Computer Consulting.  Attendees will benefit from the speakers’ combined decades of experience both with software and database design, implementation and analysis and with litigation and compliance support and should come away with an improved understanding of how these materials may be used effectively or preemptively in a litigation, investigatory, or compliance setting.

To register, click here.

24th Annual ACG Chicago Golf Outing
August 21, 2019, 7:30 A.M.-3:30 P.M.
Cog Hill Golf & Country Club, 12294 Archer Ave., Lemont, IL

Don’t miss your chance to take part in this ACG Chicago tradition! Join fellow golfers at the 24th Annual Golf Outing. For the second year, the event is being held at the prestigious Cog Hill Golf and Country Club in Lemont. Spend the day playing on one of the iconic courses that have received numerous accolades throughout the course’s history while connecting with ACG Chicago’s unique network of deal-makers and business leaders.

For more information, click here.

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