May 21, 2020 Alert

Hi all,

Below are this week’s alerts for the Investment Network.  Have a wonderful Memorial Day Weekend!

This Issue’s Topics:

  • CBA and ASECA Webinar: Update for Securities Enforcement Practitioners in Chicago
  • 100 Women in Finance Global Webinar: Venture Capital Funders and Female Founders
  • Chicago Bar Association Webcast: Futures & Derivatives Law: What’s New and What’s Next?
  • SAVE THE DATE: Washington DC Compliance Roundtable Webcast with Pete Haggerty from the SEC’s OCIE

Events:

CBA and ASECA Webinar: Update for Securities Enforcement Practitioners in Chicago
Wednesday, May 27, 2020, 10:00 A.M. CDT

The Securities Law Committee of the CBA and ASECA will present a virtual panel examining the impact of the COVID-19 pandemic on current and future priorities and operations.

Grab another cup of coffee and hear thoughts from a terrific panel of senior regulators:

  • Joel Levin of the SEC Chicago Regional Office
  • Mark Koerner of FINRA Department of Enforcement
  • Tanya Solov of the Illinois Securities Department

The event is being provided free of charge for CBA and ASECA members. CLE credit is pending.

For more information, click here.

100 Women in Finance Global Webinar: Venture Capital Funders and Female Founders
Thursday, June 4, 2020, 1:00 PM CDT
Hosted by the 100WF Connecticut Education Committee

Female founders receive less than 3% of US venture capital funding. Hear what it takes for a start-up’s founder to catch the eye of a fund and secure the money she needs.

Get an insider’s view of venture capital investing from both sides of the table. Learn the criteria that venture capitalists use as yardsticks when evaluating startups for potential funding. Re-live the ups and downs of soliciting capital to launch and grow a fledgling business.

Should female founders primarily target those venture capital funds that support women entrepreneurs or should they compete with everyone in the broader market?

Amanda Eilian of Able Partners, a venture capital fund focused on funding early stage start-ups in the healthy living and lifestyle space, and Karen Behnke of Juice Beauty, maker of organic skin care and makeup products, share their perspectives.

For 100WF members only. For more information, click here.

Chicago Bar Association Webcast: Futures & Derivatives Law: What’s New and What’s Next?
Friday, June 5, 2020, 1:00-4:00 P.M. CDT

Attorneys in the futures and derivatives industry must stay abreast of new developments in a dynamic, ever-evolving regulatory landscape. Recently, derivatives regulators have finalized a number of rule refinements and proposed the last sets of rulemakings arising from the Dodd-Frank Act. Join us for keynote Josh Sterling from the Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight. We will also take a deep dive into self-regulatory enforcement, hot topics, and whether to expect increased criminal prosecution of commodities cases. In this seminar, regulators and leading industry professionals will provide practical guidance and insight relating to current issues impacting the futures and derivatives industry.

REGULATORY HORIZON: WHAT’S NEXT FOR INTERMEDIARIES?

Josh Sterling from the CFTC Division of Swap Dealer and Intermediary Oversight
Sarah Riddell from Morgan Lewis (Moderator)

TRENDS IN SRO ENFORCEMENT

Natalie Petric from CME Group
Frances Mendieta from ICE Futures US
Cynthia Cain Ioannacc from National Futures Association
Matt Kluchenek from Mayer Brown
Conor Weber from Bank of America (Moderator)

TRADING ON TRIAL: WILL CRIMINAL CHARGES IN COMMODITIES CASES CONTINUE?

Jason Yonan from Securities and Commodities Fraud Section, U.S. Attorney’s Office for the Northern District of Illinois
Cliff Histed from K&L Gates
Shaun Ledgerwood from The Brattle Group
Ansley Schrimpf from Mayer Brown (Moderator)

For more information, click here.

SAVE THE DATE: Washington DC Compliance Roundtable Webcast with Pete Haggerty from the SEC’s OCIE
Thursday, June 11, 2020, 3:15-4:30 P.M., CDT

Save the date for the next WDCCRT Roundtable with Pete Haggerty from U.S. Securities & Exchange Commissions Office of Compliance Inspections and Examinations (OCIE). Check back for more details.

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