April 3, 2020 Alert

Hi all,

Below are this week’s alerts for the Investment Network. Stay safe and enjoy!

This Issue’s Topics:

  • REMINDER: Stradley Ronon’s COVID-19 Resource Center
  • Investment Advisers Association Webinar (2 parts): Best Execution & Trading in the Equities Markets in the Current COVID-19 Environment (for IAA members only)
  • Investment Adviser Association Webinar: Answering Clients’ Portfolio Questions
  • Hedge Fund Association Webinar: Cost Containment Strategies – How to Maintain Profitability in the Face of Economic Turmoil
  • Webcast: How Marsh Is Helping Business Respond to COVID-19 and Future Pandemics
  • FREE: ACG Webinar: Protecting New Deals from Wire Fraud
  • REMINDER: Washington DC Compliance Roundtable Web Event: Speaker – Vince Martinez, GC of NASAA

COVID-19 Resources:

REMINDER: 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.

Events:

Investment Advisers Association Webinar (2 parts): Best Execution & Trading in the Equities Markets in the Current COVID-19 Environment (for IAA members only)

Webinar 1: Thursday, April 2, 2020, 12:00-1:15 P.M. ET

The IAA and Capital Markets Strategies are hosting a pair of webinars examining Best Execution & Trading in the current COVID-19 environment. With unprecedented volatility in the markets, consideration of issues surrounding best execution and the choice of trading counterparties and strategies has become more important than ever.

The first webinar will focus on equities markets and will examine:

  • How the equities markets have functioned during the COVID-19 pandemic
  • Challenges to measuring and analyzing execution quality and trading performance
  • The impact of regulatory developments affecting access to information
  • Questions to ask of trading counterparties
  • How to best use algorithms and other technology-driven trading tools

Speakers for the first webinar include Ari Burstein of Capital Markets Strategies; IAA General Counsel Gail Bernstein; Roman Ginis of Imperative Execution; Vlad Khandros of UBS; Mehmet Kinak of T. Rowe Price; Tim Lang of Global Liquidity Partners; and Phil Mackintosh of Nasdaq, Inc.

The second webinar, on Monday, April 6, 2020 will focus on Fixed Income and ETFs and will examine:

  • How the fixed income and ETF markets have functioned during the COVID-19 pandemic
  • Challenges to measuring and analyzing liquidity, execution quality and trading performance
  • Development of transaction cost analysis for fixed income and ETF products
  • Questions to ask of trading counterparties

Speakers for the second webinar include Ari Burstein of Capital Markets Strategies; IAA General Counsel Gail Bernstein; Phil Cichlar of Jane Street; Bruce Saltzman of State Street Global Advisors; Glenn Taitz of Invesco; and Douglas Yones of the New York Stock Exchange.

Separate registration is required for each webinar. Attendance for these webinars is limited to IAA members and associate members. They are both complimentary, as are recordings of the webinars.  

For more information, click here.

Investment Adviser Association Webinar: Answering Clients’ Portfolio Questions
Friday, April 3, 2020, 12:00-12:30 P.M. ET

With the recent market volatility, an increasing number of clients are asking questions about the markets, their portfolios, and specific securities. In answering these questions, advisers need to be mindful of issues such as selective disclosure, preventing the misuse of material nonpublic information, codes of ethics, and the firm’s own policies and procedures. Our expert panel will discuss these issues and provide some practical tips to assist in answering client questions. Participants will have an opportunity to ask questions during the webinar.

Our panel includes Sara Crovitz and Lawrence Stadulis of Stradley Ronon and IAA Associate General Counsel Sarah Buescher.

For more information, click here.

Hedge Fund Association Webinar: Cost Containment Strategies – How to Maintain Profitability in the Face of Economic Turmoil
Wednesday, April 8, 2020, 10:00-10:45 A.M. ET

Please join us for the first in a webinar series designed to help provide strategies for coping with the financial difficulties that organizations face in economic turmoil. With the likely fallout from the global pandemic likely to cause harm to the global economy, growth and stability of a lot of business, we want to focus on what can be done to offset these problems and help companies sustain their positions, retain their clients and even scale their growth.

Some of the questions to be discussed related to the funds industry include:

  • What is the likely impact of this turmoil to our industry? Which players will be affected the most?
  • Which areas of cost containment should businesses address?
  • How can intelligent automation improve cost containment?
  • Will FinTech spending continue?
  • How can technology drive digital transformations that deliver cost containment objectives?
  • Which areas of IT budgets will be preserved for cost containment?

This event is complimentary for HFA members and $25 for future members. Attendees must pre-register and are encouraged to submit questions in advance by completing this online form. The deadline for questions to be received by HFA is April 7th by 5:00 pm EST.

For more information, click here.

Webcast: How Marsh Is Helping Business Respond to COVID-19 and Future Pandemics
April 8, 2020, 10:00 A.M.-11:00 P.M. ET

Join Marsh President and CEO John Doyle to learn more about how Marsh is helping clients manage their COVID-19 risks and developing solutions for future pandemic events. 

Following Mr. Doyle’s remarks, our panel, including specialists from Marsh’s Workers’ Compensation Center of Excellence and Marsh Risk Consulting will also discuss the effects of COVID-19 on workers’ compensation and workplace safety programs including:

  • The types of claims employers should be prepared for as the pandemic continues, including some not directly related to COVID-19.
  • How limited resources and delays in key processes can affect the resolution of outstanding claims.
  • Strategies employers can use to prevent injuries to employees both at home and in workplaces that remain open.

For more information, click here.

FREE: ACG Webinar: Protecting New Deals from Wire Fraud
Thursday, April 9, 2020, 1:00-2:00 P.M. ET

In today’s era of evolving technology, hackers are growing more sophisticated, putting your company and assets at tremendous risk. Hackers are exploiting systems and data at a faster rate, and they’re expanding their target range. The private equity industry and their portfolio companies are quickly becoming some of the most targeted victims of cyber threats.

Join RKON, which will perform a brief but targeted security awareness overview to help new deal teams to understand how to proactively identify and avoid these threats from day one. Additionally, RKON will discuss what technology and processes must take priority in the early stage of a deal.

At the end of this webinar, attendees will:

  • Understand and recognize directly how hackers are targeting their organizations.
  • Understand what to do when a breach occurs during the first critical minutes/hours.
  • Develop proactive techniques to prevent the majority of break-ins regardless of the maturity of their security controls.
  • Understand what hackers are trying to achieve and what needs to be in place to prevent them system
  • ically.

For more information, click here.

REMINDER: Washington DC Compliance Roundtable Web Event: Speaker – Vince Martinez, GC of NASAA
Thursday, April 16th, 2020, 3:30-4:30 P.M. ET: Discussion Topics; 4:30-5:00 P.M. ET: Q&A/Networking

Vince Martinez, General Counsel of the North American Securities Administrators Association (NASAA), will discuss key interplays between state and federal securities laws, as well as how state securities administrators work with federal regulators and self-regulatory organizations.

Vince Martinez is the General Counsel of the North American Securities Administrators Association (NASAA). NASAA is the oldest international organization devoted to investor protection, and its membership consists of the securities administrators in the 50 states, the District of Columbia, Canada, Mexico, Puerto Rico, and the U.S. Virgin Islands. Immediately prior to joining NASAA, Mr. Martinez was a partner in the Washington, DC office of K&L Gates LLP, where he worked in the firm’s investigations, enforcement and white collar practice group. Before joining K&L Gates, Mr. Martinez worked in the Securities and Exchange Commission’s Division of Enforcement for almost twelve years, where he brought numerous antifraud actions against corporations and individuals. He also helped to establish and later became the Chief of the Division of Enforcement’s Office of Market Intelligence (OMI). Before serving as the Chief of OMI, Mr. Martinez established the Commodity Futures Trading Commission’s Whistleblower Office and served as its first Director. Mr. Martinez began his career in private practice, working both as a corporate transactional attorney and a litigator in New York and Washington, DC.

Despite the current social distancing that many of us are participating in, WDCCRT will continue to provide content during this difficult time.

https://global.gotomeeting.com/join/323179741 You can also dial in using your phone:

United States: +1 (312) 757-3121
Access Code: 323-179-741

New to GoToMeeting? Get the app now and be ready when your first meeting starts.

To RSVP, click here.

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