March 26, 2020 Alert

Hi all,

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

This Issue’s Topics:

  • Stradley Ronon’s COVID-19 Resource Center
  • Stradley Ronon COVID-19 Checklist & Considerations for Private Fund Advisers
  • Washington DC Compliance Roundtable Webinar: Coronavirus Considerations for SEC and CFTC Registrants
  • FREE: Washington DC Compliance Roundtable: Open Call: Cyber Security During the COVID-19 Pandemic with Matthew J. DeSarno, Special Agent in Charge, FBI
  • 100 Women in Finance Global Webinar Series: Part 1 Thriving in Uncertainty: A Conversation with Maggie Craddock and Amanda Pullinger

COVID-19 Resources:

Stradley Ronon’s COVID-19 Resource Center

There are many questions about the novel COVID-19 virus still being answered. Amid issues of general health and safety, our clients are facing tough decisions about their day-to-day operations. Due to the evolving business challenges caused by COVID-19, we are closely monitoring federal and state government guidance and developments across a variety of industries and legal disciplines. Our attorneys are committed to helping you navigate this new landscape with a comprehensive COVID-19 Resource Center, Stradley Ronon’s hub for helpful information and resources.

To access the Resource Center, click here.

Stradley Ronon’s COVID-19 Checklist & Considerations for Private Fund Advisers

With COVID-19 (i.e., the novel coronavirus) concerns and market volatility, advisers should consider compliance challenges that are likely to arise. This COVID-19 Checklist & Considerations for Private Fund Advisers highlights key compliance issues, questions and considerations with respect to the COVID-19 outbreak and government response. Please note that if an adviser does not document its compliance efforts, the Securities and Exchange Commission (SEC) will assume that such efforts did not occur. This checklist is not exhaustive and does not, for example, cover Commodity Futures Trading Commission considerations, which are discussed in a separate client alert.

To view the checklist, click here.

Events:

Washington DC Compliance Roundtable Webinar: Coronavirus Considerations for SEC and CFTC Registrants
Tuesday, March 31, 2020, 1:00-2:00 P.M. CST

Amidst uncertainty brought on by COVID-19 (i.e., the current coronavirus), advisers, broker-dealers, commodity pool operators and commodity trading advisors should continue to focus on effective implementation of compliance policies and procedures. The Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) will be judging the effectiveness and implementation of your policies during this crisis as part of your next exam. So how can you best achieve compliance during these chaotic times? This webinar will help you begin to address and document your compliance efforts. Remember that if you do not document your compliance efforts, the SEC and CFTC will assume that such efforts did not occur. Our speakers are Nicole Kalajian from Stradley Ronon and Marina Baranovsky of Scitus Consulting LLC.

This webinar will be broadcast in video mode and available for on-demand viewing for the registered participants after our live presentation. After registering, you will receive a confirmation email containing information about joining the webinar.

To register, click here.

FREE: Washington DC Compliance Roundtable: Open Call: Cyber Security During the COVID-19 Pandemic with Matthew J. DeSarno, Special Agent in Charge, FBI
Thursday, April 1, 2020, 12:00-1:30 P.M. CST

Washington DC Compliance Round Table is hosting an open event in support of the legal and compliance community. It is open to members and non-members. We believe that raising awareness in these difficult times and supporting our community is essential.

Our call will be hosted by Marina Baranovsky of Scitus Consulting LLC, Nicole Kalajian of Stradley Ronon and Ivy Duke of National Real Estate Advisors, with special guest, FBI Special Agent Matt Desarno, who will provide us with the most recent developments related to heightened concerns around cybersecurity during the COVID-19 pandemic.

Please join our meeting from your computer, tablet or smartphone.
https://global.gotomeeting.com/join/216738789.

You can also dial in using your phone.
United States: +1 (669) 224-3412Access Code: 216-738-789

New to GoToMeeting? Get the app now and be ready when your first meeting starts
https://global.gotomeeting.com/install/216738789

For more information, click here.

100 Women in Finance Global Webinar Series: Part 1 Thriving in Uncertainty: A Conversation with Maggie Craddock and Amanda Pullinger
Wednesday, April 1, 2020, 3:00 P.M. CST

Maggie Craddock Founder and President of Workplace Relationships, has just written her third book (for release in May 2020) entitled Lifeboat: Navigating Unexpected Career Change and Disruption. 100WF members will get a sneak peek at some of the timely themes that Maggie addresses in her latest book.

In the first of a three part series with Maggie, she will be joined by Amanda Pullinger, CEO of 100WF to discuss ways we can all thrive despite the uncertain world we find ourselves in. Some of the key topics will be:

  • What motivated Maggie to write this book using the Titanic theme?
  • How are the themes raised in Lifeboat relevant to today’s global crisis?
  • Practical solutions to how we can adapt and change in a crisis (raised in Chapter #4 “What if I freeze in a crisis?”)
  • Discussion about the importance of peer networks and community (raised in Chapter #7 “How do we survive together”)

To register, click here.

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