August 7, 2020 Alert

Hi all,

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

This Issue’s Topics:

  • Stradley Ronon Helps Launch Cryptocurrency Self-Regulatory Organization
  • Stradley Ronon Client Alert: New SEC Proxy Regulations for Proxy Voting Advice Businesses and More Proxy Guidance for Investment Advisers
  • General Counsel Conference 2020: FREE Pre-Conference Showcase
  • FREE: BBD: The Next Evolution of Fair Value: The SEC’s Proposed Rule 2a-5
  • 100 Women in Finance Global Webinar: Find and Leverage Your Zone of Genius Leadership
  • FREE: NRS Webinar: COVID-19 Compliance Review
  • Washington DC Compliance Roundtable: SEC Rule 17h: Risk Assessment and Recordkeeping Requirements Update for Broker Dealers

Publications:

Stradley Ronon Helps Launch Cryptocurrency Self-Regulatory Organization

Lack of regulatory oversight of the cryptocurrency market has sparked the gusto of over 100 industry professionals in Chicago who have now established an international self-regulatory organization (SRO) for cryptocurrencies. Known as the Global Digital Asset & Cryptocurrency Association (Global DCA), the purpose of the SRO is to bolster the market’s integrity, protect public interest and maximize legitimate economic opportunity for all participants in the global digital economy.

To read more, click here.

Stradley Ronon Client Alert: New SEC Proxy Regulations for Proxy Voting Advice Businesses and More Proxy Guidance for Investment Advisers
August 4, 2020

At an open meeting on July 22, 2020, the Securities and Exchange Commission (SEC) voted 3-1 to adopt amendments to its proxy rules and to issue supplemental SEC guidance (Guidance) for investment advisers.

The amendments to the proxy rules impose a number of new requirements on proxy voting advice businesses (PVABs). The Guidance discusses the proxy voting responsibilities of investment advisers when using a PVAB, and in particular, it focuses on adviser responsibilities when using the electronic voting platform of a PVAB.

To read more of this Alert, click here.

Events:

General Counsel Conference 2020: FREE Pre-Conference Showcase
Tuesday, August 11, 2020, 9:30 A.M.-4:00 P.M. CDT

The premier forum gathering hundreds of general counsel and senior legal leaders is going VIRTUAL. General Counsel Conference, will remain the premier forum for delivering concrete strategies and solutions that general counsel can implement to help their organizations survive and thrive – while also delivering more education, more networking and more insights all from the comfort of your home or office!

You are invited to take a FREE sneak peek at what the General Counsel conference virtual experience will look like with the pre-conference showcase. The pre-conference showcase will feature a spotlight on the midwest region as well as give an overview on topics such as: Cross-border M&A, US Privacy Laws, State Regulatory & Enforcement Trends and much more!

Featured pre-conference speakers: Deborah Rasin of Hillrom; Derek Spychalski of Zebra Technologies Corporation; Rozan Simoni of COFCO International; William Dummett of Genesys; Kathleen Blaszak of Eversheds Sutherland; and Jenny Kim of Koch Companies Public Sector, LLC.

For more information, click here.

FREE: BBD: The Next Evolution of Fair Value: The SEC’s Proposed Rule 2a-5
Wednesday, August 12, 2020, 1:00-2:00 P.M. CDT

In April, the SEC released proposed Rule 2a-5 under the Investment Company Act of 1940. The proposed rule is the next step in an ongoing effort to address valuation practices more comprehensively for registered investment companies and business development companies.

How Will the SEC’s Proposed Rule 2a-5 Affect You? Rule 2a-5 will create a significant shift in the roles and interaction of Boards and investment advisors related to fair value determinations. Everyone involved in the management and oversight of registered funds will be impacted by these developments.

Join speakers Cillian Lynch of Stradley Ronon, John Braun and Cory Stewart of BBD Partners and Brad Swenson of SS&C ALPS for a lively panel discussion regarding the background of the proposed rule, reaction of the industry, and insight into what you can expect next.

For more information, click here.

100 Women in Finance Global Webinar: Find and Leverage Your Zone of Genius Leadership
Thursday, August 13, 2020, 11:00 A.M. CDT

Your zone of genius is the unique power that enables you to perform better than most, professionally and personally. How do you tap into your zone of genius and lead, especially during the uncertainty of the COVID era?

Explore the mindsets that might hold you back from leveraging your zone of genius in a conversation with Angela Lee of Columbia Business School and Jane Abitanta of Perceval Associates. Learn about tools you can immediately apply in your career to improve your leadership skills.

Please send your questions to eduny@100women.org by Tuesday, August 11, 2020 or submit them during the meeting.

For more information, click here.

FREE: NRS Webinar: COVID-19 Compliance Review
Thursday, August 13, 2020, 1:00-1:30 P.M. CDT

How adequate is your pandemic response? The pandemic resulting from the novel coronavirus is redefining how investment advisers ensure compliance confidence. From stay-at-home orders to rapidly evolving health guidelines, compliance professionals are presented with a unique set of compliance challenges.

This complimentary 30 minute webinar will outline the most common pitfalls related to the ongoing pandemic, and provide you with guidance for assessing your firms’ responses, along with the resiliency of your compliance program.

Attendees will gain insight into:

  • The challenges associated with running your compliance program in the midst of the patchwork of government rules and regulations,
  • How the ‘new normal’ will influence your policies and procedures moving forward, and
  • Guidance on how you can position your compliance program to keep your firm protected.

For more information, click here.

Washington DC Compliance Roundtable: SEC Rule 17h: Risk Assessment and Recordkeeping Requirements Update for Broker Dealers
Thursday, August 20, 2020, 1:00-2:00 P.M. CDT

This webinar will provide an interactive overview of the SEC Risk Assessment and Recordkeeping Requirements under Rule 17(h).  The webinar will also share practical implementation advice, including the most recent changes to the Rule exempting certain broker-dealers from Rule 17(h). Our panelists are Marina Baranovsky of Scitus Consulting, LLC and Nicole Kalajian of Stradley Ronon. This webinar will be broadcast in a video mode and available for on-demand viewing for the registered participants after our live presentation.

To RSVP, click here.

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