July 16, 2020 Alert

Hi all,

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

This Issue’s Topics:

  • FREE: U.S. Securities and Exchange Commission Open Meeting
  • AlphaWeek: Market Intel On Due Diligence Considerations Of Investment Consultants, Gatekeepers & Investors That You Can Use To Your Marketing Advantage
  • 100 Women in Finance Global Webinar: Opportunities and Threats for Banking and Finance: FinTech, Innovation and Change
  • FREE: Voltaire Webinar: The Ex-SEC Speaks on Proposed Rule 2a-5
  • AlphaWeek: Harnessing Your Investment Opinions As A Key To Marketing Your Strategy To Investors
  • FREE: LabCFTC Fintech-Focused Virtual Event Series: Empower Innovation 2020

Events:

FREE: U.S. Securities and Exchange Commission Open Meeting
Wednesday, July 22, 2020, 9:00 A.M. CDT

The two items of the Open Meeting will address the Commission’s continued efforts to enhance transparency, improve disclosures, and increase confidence in the proxy process. The specific matters to be considered are:

Item 1: Exemptions from the Proxy Rules for Proxy Voting Advice
Office: Division of Corporation Finance
Staff:   William Hinman, Michele Anderson, Ted Yu, Luna Bloom, Daniel Greenspan, and Valian
Afshar

The Commission will consider whether to adopt proxy rule amendments to provide investors who use proxy voting advice with should receive more transparent, accurate, and complete information on which to make voting decisions, without imposing undue costs or delays.

For further information, please contact Daniel Greenspan or Valian Afshar in the Division of Corporation Finance at (202) 551-3430.

Item 2: Supplement to Commission Guidance Regarding Proxy Voting Responsibilities of Investment Advisers
Office: Division of Investment Management
Staff:   Dalia Blass, Paul Cellupica, David Bartels, Holly Hunter-Ceci, and Thankam Varghese

The Commission will consider whether to publish supplementary guidance to the Commission Guidance Regarding Proxy Voting Responsibilities of Investment Advisers, Release No. IA-5325 (Aug. 21, 2019), 84 FR 47420 (Sept. 10, 2019), regarding how the fiduciary duty and rule 206(4)-6 under the Investment Advisers Act of 1940 relate to an investment adviser’s proxy voting on behalf of clients.

For further information, please contact Thankam Varghese or Holly Hunter-Ceci in the Division of Investment Management at (202) 551-6825.

For more information, click here.

AlphaWeek: Market Intel On Due Diligence Considerations Of Investment Consultants, Gatekeepers & Investors That You Can Use To Your Marketing Advantage
Wednesday, July 22, 2020, 12:00-12:45 P.M. CDT

Welcome to the third 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.

For this series of asset raising webinars AlphaWeek has partnered with Bruce Frumerman, CEO of the 32-year-old financial communications and sales marketing consulting firm Frumerman & Nemeth Inc. Their work has helped money management firm clients attract over $7 billion in new assets yet they are not third-party marketers.

Winning over sophisticated institutional investors to your money management firm’s strategy requires creating and managing your marketing effort the right way. Part of your success will be dependent upon how much you take into consideration the buyer’s perspective when you go to sell.

In this webinar, attendees will learn what a range of investment consultants, gatekeepers and investors have stated about their due diligence considerations, many of which are beyond-the-numbers evaluation considerations.

Build your communications and sales marketing efforts to address the points shared in this market intel session and your investment firm will increase its potential to out-market similarly performing competitors.

For more information, click here.

100 Women in Finance Global Webinar: Opportunities and Threats for Banking and Finance: FinTech, Innovation and Change
Thursday, July 23, 2020, 7:00 P.M. CDT

What lessons can we learn from the opportunities and threats of 2008 that are relevant in 2020? Hear how leaders in FinTech and Venture Capital are tapping those experiences to adapt and remain resilient, while navigating the uncertainties of the banking and finance sectors today. Learn how unprecedented challenges can be turned into opportunities to thrive in the agile environment of FinTech.

Please submit your questions to edusydney@100women.org by Tuesday, July 21 or submit them during the webinar.

The speakers are: Katherine Leong of Spark Beyond; Catherine D. Wood of ARK Investment Management LLC; and Moderator, Simone Bouch of MSCI Inc.

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

FREE: Voltaire Webinar: The Ex-SEC Speaks on Proposed Rule 2a-5
Friday, July 24, 2020, 9:00 A.M. CDT

Voltaire Advisors has invited three former Directors of the SEC Division of Investment Management to comment on the proposed Fair Value Rule 2a-5. This distinguished panel will assess the key implications of the proposals for the fund industry and give their views on what the final rulemaking outcome might entail, and what to expect in the future. The speakers include David Grim of Stradley Ronon, Ian Blance of Voltaire Advisors, Norm Champ of Kirkland & Ellis and Buddy Donohue of NY Mellon Funds.

The new rule is the most comprehensive statement of mutual fund fair valuation obligations for nearly 50 years and is likely to have profound changes for fund boards, managers and service providers.

For more information, click here.

AlphaWeek: Harnessing Your Investment Opinions As A Key To Marketing Your Strategy To Investors
Wednesday, August 26, 2020, 12:00-12:45 P.M. CDT

Welcome to the fourth 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.

For this series of asset raising webinars AlphaWeek has partnered with Bruce Frumerman, CEO of the 32-year-old financial communications and sales marketing consulting firm Frumerman & Nemeth Inc. Their work has helped money management firm clients attract over $7 billion in new assets yet they are not third-party marketers.

Handling communication and sales better than your competition is often the Achilles heel of firm owners. Many investment managers are doing a poor job of explaining beyond-the-numbers about how they invest, and these are the very points investment committee members talk about in semifinals and finals considerations for allocating to one money manager rather than to competitors with similar performance.

Opinions matter more than ever. What people are buying into are your opinions. Your numbers and other objective data are really just information that in reality only support the veracity of your opinions and one of the biggest opinions you have is about the process you chose to follow in your investing and that opinion is what all of you have bet your livelihood on.

In this webinar, attendees will gain insights about, and learn tips for, harnessing and applying their investment opinion-based information throughout the selling cycle in seeking to raise assets from sophisticated investors.

For more information, click here.

FREE: LabCFTC Fintech-Focused Virtual Event Series: Empower Innovation 2020

The Commodity Futures Trading Commission today announced that LabCFTC will present Empower Innovation 2020, a series of interactive virtual events throughout the fall. The three-part series will facilitate a dialogue among innovators, regulators, market participants, and the public around cutting-edge fintech innovation. In light of the COVID-19 (coronavirus) pandemic, the Empower Innovation 2020 series will be held in lieu of the 2020 Fintech Forward conference.

LabCFTC will also announce the winner of Project Streetlamp, the competition LabCFTC launched in April under the Science Prize Competition Act, at the November Empower Innovation 2020 event. [See CFTC Press Release No. 8154-20]

“Encouraging innovation and enhancing the regulatory experience for market participants is essential to what we do at the CFTC,” said CFTC Chairman Heath P. Tarbert. “As our markets adapt in the wake of COVID-19, so too must we innovate and adapt. I am incredibly proud of the LabCFTC team for working through the challenges of assembling innovators and global regulators virtually to facilitate these conversations, and I look forward to participating in what I am sure will be engaging and informative events.”

“COVID-19 has demonstrated why fintech innovation is critically important,” said LabCFTC Director and CFTC Chief Innovation Officer Melissa Netram. “Empower Innovation 2020 will focus on cutting-edge financial technology and innovation, educate on emerging technology and innovation practices of today, and discuss the impact of technology and innovation during the pandemic.”

“As we approach the 10-year anniversary of Dodd-Frank, this virtual series is an opportunity to reflect on the past as we discuss tomorrow’s innovation today,” said Shivon Kershaw, LabCFTC Senior Innovation and Education Advisor. “It’s key to have a clear line of sight to the future while highlighting responsible innovation that continues to thrive around the globe, despite today’s challenges. Our aim is that the discussion from this series empowers both innovators and regulators collectively.”

Empower Innovation 2020 will consist of a combination of fireside chats, digital roundtables/panels, and “Tech Talks” from foremost industry experts. Registration will open in August and a detailed agenda is forthcoming. Members of the public can sign up here for Empower Innovation 2020 and LabCFTC updates.  

Empower Innovation 2020 Fall Sessions:

  • Thursday, September 24: The Power of Innovation: Where Tech & Crisis Collide. This session will feature a dialogue about the impact and necessity of technology and sustainable innovation in a time of global crisis.
  • Wednesday, October 21: Regulation and Innovation Re-imagined. Coinciding with DC Fintech Week, this session will feature a panel discussion addressing how regulators respond to financial innovation.
  • Thursday, November 19: The Future of Finance. This session will examine how novel solutions and forward-thinking strategies used within the industry and the CFTC will shape our world in the years to come.

For LabCFTC updates, click here.

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