June 18, 2020 Alert

Hi all,

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

This Issue’s Topics: 

  • SIFMA: Regulator Forum with the SEC, CFTC and FINRA
  • Parallel: A Virtual Journey Across the Blockchain Ecosystem: Acceptance/Adoption
  • FREE: Opalesque: The Corona Fighters: Meet the Asset Managers Who Actually Delivered During the Meltdown
  • Coquest: Traders Research Manager Interview Series
  • Virtual ACG Member Summit
  • FREE: AlphaWeek: Two Marketing Plans Every Investment Firm Needs
  • 100 Women in Finance Global Webinar: Investing in Artificial Intelligence: Insights from Venture Capital
  • Washington DC Compliance Roundtable Web Event: Speaker – Peter Haggerty, Senior Regulatory Counsel SEC OCIE

Events:

SIFMA: Regulator Forum with the SEC, CFTC and FINRA
Friday, June 19, 2020, 12:00-1:15 P.M. CDT

Bring your questions and join us on Friday, June 19 from 1:00 – 2:15 p.m. EDT, to explore the impact of the COVID-19 pandemic on the industry and regulation. This live webinar discussion will focus on upcoming SEC, CFTC, and FINRA regulatory initiatives; current regulatory issues and concerns; and how regulators are faring in this new environment.

Speakers: Daniel T. McIsaac of KPMG LLP (Moderator); Michael A. Macchiaroli of the SEC; Thomas J. Smith of the CFTC; and Bill Wollman of FINRA.

For more information, click here.

Parallel: A Virtual Journey Across the Blockchain Ecosystem: Acceptance/Adoption
Friday, June 19, 2020, 12:00 P.M. CDT

Parallel /ˈper.ə.lel/ : Involving two or more computer processes happening at one time.

Everywhere we look across the blockchain industry, we see an old world and new world running in parallel. Whether that is established financial systems being reimagined by Fintech and DeFi, or analog systems being digitized, or new technologies being retrofitted into decades-old regulatory frameworks. All are necessary and valuable as we lean into the next phase of adoption.

The Parallel virtual event series will explore the fundamental transformations that are happening across the blockchain industry as technology, approaches, thinking and beliefs merge, combine and at times collide.

These are the parallel tracks we are all part of and ultimately some will converge. But how, when, where and why? The Chamber of Digital Commerce is set to deliver some of the most dynamic and visionary thinkers to take us on a journey of parallel universes throughout 2020. We invite you to join us on this virtual trip.

For more information, click here.

FREE: Opalesque: The Corona Fighters: Meet the Asset Managers Who Actually Delivered During the Meltdown
Tuesday, June 23, 2020, 9:00 A.M. CDT

Opalesque presents five investment managers who deliver a succinct presentation how and why their strategies delivered positive returns and/or protected during the Corona led market meltdown, with Q&A session. For investors only – register now as seats are limited.

For more information, click here.

Coquest: Traders Research Manager Interview Series
Tuesday, June 23, 2020, 9:00 A.M. CDT

Revolution Capital Management’s products strive to provide diversification of returns within the managed futures space. Recognizing that the majority of commodity trading advisors (CTAs) pursue some type of trend-following strategy, our goal is to offer complementary products with varying degrees of target correlations to trend-exploiting strategies. For investors only.

For more information, click here.

Virtual ACG Member Summit
June 23-25, 2020, 9:00 A.M.-5:00 P.M. CDT

ACG Global will host its first-ever virtual ACG Member Summit, an event that will gather ACG’s worldwide community of 15,000 for digital business development opportunities and a program focused on connectivity, growth and peer engagement. ACG will kick off the exclusive and all-inclusive event with live programming and one-on-one meetings via ACG Access, its featured scheduling tool for the event. ACG Access allows members to connect when they want during the three-day digital experience.

ACG anticipates the three-day event will engage thousands of members and ACG Access will be greatly utilized. ACG expects the meeting will be a mid-year high point for members across the globe.

ACG Member Summit is the perfect opportunity for members to tap their global network while cultivating connections within one’s local community.

The ACG Member Summit is a complimentary event for ACG MEMBERS ONLY. Make sure to renew your membership or become a member below.

For more information, click here.

FREE: AlphaWeek: Two Marketing Plans Every Investment Firm Needs
Wednesday, June 24, 2020, 12:00 P.M. CDT

Welcome to the second of a series of AlphaWeek webinars that will offer insights and tips to prepare money management firms for improving their abilities to out-market competitors and attract assets from sophisticated investors in the coming post-pandemic, recessionary world. Winning over sophisticated institutional investors to your money management firm’s strategy requires creating and managing your marketing effort the right way. You want to out-market competitors, turn prospects into clients quicker, and attract more sticky assets. This necessitates your investment firm’s executive team to produce and oversee two marketing efforts, not one. And this requires having two distinct marketing plans. In this Two Marketing Plans Every Investment Firm Needs webinar, attendees will learn the steps for constructing and putting into action a sales marketing plan and a communications marketing plan.

For more information, click here.

100 Women in Finance Global Webinar: Investing in Artificial Intelligence: Insights from Venture Capital
Wednesday, June 24, 2020, 2:30 P.M. CDT
Hosted by the 100WF North California Education Committee

Artificial Intelligence (AI) continues to attract attention from venture capitalists seeking an edge. Gain insights into this fast-evolving area and explore key AI-related considerations including: 

  • How fund managers are allocating capital to AI, Machine Learning and Big Data.
  • How stakeholders (LPs, boards, investment committees) view the role of AI in investments.
  • The opportunities and risks that may lie ahead and how VCs are thinking about them.

Please send your AI-related questions to ncalif@100women.org by June 22, or submit them during the webinar.

Registration is now open to members. For more information, click here.

Washington DC Compliance Roundtable Web Event: Speaker – Peter Haggerty, Senior Regulatory Counsel SEC OCIE
Thursday, July 9, 2020, 3:30-4:30: Discussion Topics, 4:30-5:00: Q&A/Networking CDT

Peter Haggerty, Senior Regulatory Counsel in the U.S. Securities and Exchange Commission’s (SEC) Office of Compliance, Inspections and Examinations (OCIE) will discuss current legal and compliance trends, as well as COVID-19 information for the SEC registrants.

Pete Haggerty is a Senior Regulatory Counsel in OCIE’s Investment Adviser/Investment Company (IA/IC) Examination Program. OCIE conducts the SEC’s National Exam Program, and the IA/IC examination program is responsible for conducting exams of investment advisers and investment companies. Prior to joining OCIE, Mr. Haggerty worked in the SEC’s Division of Enforcement for over ten years, including four years with the Division’s Asset Management Unit (AMU), where he brought a variety of enforcement actions against hedge funds, corporations and individuals. Mr. Haggerty also served as Special Counsel in the SEC’s Division of Trading and Markets, where he worked on rulemaking initiatives and broker-dealer registration issues. Mr. Haggerty began his career in private practice, working as a litigator with a focus on commercial and securities litigation.

To RSVP, email contact@wdccrt.org.

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