October 10, 2019 Alert

Hi all,

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

This Issue’s Topics:

  • Women in Listed Derivatives (WILD): Rocktober
  • FREE: Stradley Ronon Webcast: How the New ETF Rule Changes the Regulatory Landscape
  • The Chicago Bar Association: Futures & Derivatives Law Committee Meeting
  • IAA Webinar: SEC Proxy Guidance for Investment Advisers
  • Morgan Lewis and Women in Listed Derivatives (WILD): Cyberattacks Not if, But When

Events:

Women in Listed Derivatives (WILD): Rocktober
Thursday, October 10, 2019, 6:00-11:00 P.M.
City Winery, 1200 W. Randolph, Chicago, IL

WILD is a proud supporter of @ALegToStandOn Rocktoberfest series. Every ticket purchased helps provide a Joshi prosthetic limb to a #CoolKid in need.

ALTSO provides free life-changing prosthetic limbs, orthotic braces, and appropriately fitted wheelchairs to children living with untreated limb disabilities in the developing world – at an average cost of only $250 per child. We are proud to stand by our patients providing continual treatment through the age of 21 meaning every CoolKid can Grow Up ALTSO. This ensures each ALTSO patient has the opportunity to gain the education and vocational skills needed to become independent and self-sufficient.

ALTSO Rocktoberfest-Chicago will celebrate its 8th anniversary this year alongside NYC’s 16th and London’s 2nd anniversaries. More than 2,750 professionals from the alternative investment and related financial service industries will unite in these three cities for a night of rock & roll and acoustic music to benefit ALTSO’s mission and the more than 18,000 CoolKids treated to date.

For more information/tickets, click here.

FREE: Stradley Ronon Webcast: How the New ETF Rule Changes the Regulatory Landscape
Tuesday, October 15, 2019, 1:00-1:45 P.M.

On September 25th, the U.S. Securities and Exchange Commission adopted new Rule 6c-11 under the Investment Company Act of 1940 to provide ETFs with the exemptions necessary to permit their operations. This webcast will provide investment management professionals with an overview of the key features of the rule and the changes to the ETF regulatory landscape.

This webcast is geared towards investment management product development and in-house legal professionals.  The Stradley panelists, Michael W. Mundt, J. Stephen Feinour Jr. and Joel D. Corriero, will discuss scope of rule and overview of relief, in-kind basket provisions and other conditions, new disclosure requirements, 1934 Act relief and additional items from adopting release.

To register, click here.

The Chicago Bar Association: Futures & Derivatives Law Committee Meeting
Wednesday, October 16, 2019, 12:00-1:00 P.M.
CBA Headquarters, 321 South Plymouth Court. Chicago, IL (See display monitor in lobby for meeting room location)

Join the Committee for a discussion on JAC Alerts and Related CFTC Guidance.  The speakers will be: Jason Silverstein of SIFMA AMG and Kevin Foley of Katten’s Financial Markets and Funds Group.  Moderated by: Sarah Riddell of Morgan Lewis.

IL MCLE credit will be available.  For more information, click here.

IAA Webinar: SEC Proxy Guidance for Investment Advisers
Thursday, October 17, 2019, 1:00-2:00 P.M.

The SEC’s recently adopted guidance regarding the proxy voting responsibilities of investment advisers – particularly when they are using the services of a proxy advisory firm – has raised a number of concerns. One is that costs for advisers that vote proxies will increase. Another is that the SEC’s move from principles-based to more prescriptive guidance will create substantial challenges for advisers.

In this webinar, panelists will discuss each element of the guidance and key takeaways for advisers to consider in reviewing their proxy voting policies and procedures. The panel includes: Sara Crovitz of Stradley Ronon, Mari-Anne Pisarri of Pickard Djinis & Pisarri LLP and Sarah Buescher, IAA Associate General Counsel.

For more information, click here.

Morgan Lewis and Women in Listed Derivatives (WILD): Cyberattacks Not if, But When
Thursday, October 17, 2019, 5:00-7:00 P.M. (Reception to follow)
Morgan Lewis, Iridium Center, 1st Floor Main Lobby, 77 W. Wacker Dr., Chicago, IL

Authorities from CME Group, Wintrust, and Morgan Lewis will discuss how to respond to a cyberattack and prevent the next attack from occurring. Gain insight into cybersecurity best practices, including those with a focus on the financial services industry, and regulatory compliance considerations.

Hosts of this program will be: Sarah Riddell and Kristin Hadgis of Morgan Lewis and WILD.  Moderated by Katie Cleland of Société Générale with panelists to include: Kristin Hadgis of Morgan Lewis, John Koleno of Wintrust and Gil Vega of CME Group.

To register, click here.

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