October 22, 2020 Alert

Hi all,

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

This Issue’s Topics:

  • 2020 Post Election Direction: The Asset Management Industry and Regulatory Priorities in 2021
  • FREE: A Leg to Stand On (“ALTSO”): RocktoberFest
  • FREE: Securities And Exchange Commission: Sunshine Act Meetings
  • Women in Listed Derivatives: Next Generation Women in Finance Scholarship FUNraiser
  • 100 Women in Finance: Vote for ESG with Your Investment Dollars – The Power of Direct Indexing
  • Ignite Exchange Webcast: Tech Innovation In the Middle of a Pandemic for Asset Management Firms
  • FREE: Stradley Ronon and Conner Strong & Buckelew: An Introduction to Risk & Insurance

Events:

2020 Post Election Direction: The Asset Management Industry and Regulatory Priorities in 2021

OnDemand 60-Minute Thought Leadership Session is available or immediate viewing.  Originally aired during the ICI’s 2020 Securities Law Developments.

Hear our industry panelists discuss the inside post-election perspective on how the asset management regulatory agenda will be influenced by election results.

Topics:

  • Money Market Funds
  • ESG
  • Disclosure Reform
  • Regulation Best Interest
  • Diversity and Inclusion
  • Enforcement Philosophy

Presenters:

  • David W. Grim, Stradley Ronon
  • Roberg C. Grohowski, T. Rose Price
  • Naseem Nixon, Capital Research and Management Company
  • Jennifer Marietta-Westberg, Cornerstone Research

To download, click here.

FREE: A Leg to Stand On (“ALTSO”): RocktoberFest
Thursday, October 22, 2020, 7:00 P.M.

We can’t gather together but we can still Rock For Good.  Register for ALTSO’s global, free Rocktoberfest, as we come together virtually in honor of their CoolKids.

Proceeds will provide free prosthetic limbs, orthotic braces, and appropriately fitted wheelchairs to ALTSO’s CoolKids, and will support their COVID-19 Reopening Fund to equip their 11 programs with the PPE to operate safely.  ALTSO provides free prosthetic limbs, orthotic devices, and appropriately fitted wheelchairs for children in the developing world whose families, earning less than $3 per day, could otherwise never afford care. Mobility provides access to education, future employment, and the tools to live self-sufficiently.

Recognized as one of the most unique and effective events in the philanthropic and alternative investment industries, Rocktoberfest rockers have transformed the lives of nearly 20,000 CoolKids around the globe.

This is your only chance to rock out – virtually – with your favorite clients, colleagues, and friends, whom you haven’t seen in months.   Dress up or dress down. Watch on the small screen or big screen. Turn the volume up or down. There’s no wrong way to Rock For Good.  In is year of uncertainty, we guarantee you this – Rocktoberfest is always a good time.

To register, click here.

FREE: Securities And Exchange Commission: Sunshine Act Meetings
Wednesday, October 28, 2020, 9:00 A.M. CDT

This meeting will be open to the public via audio webcast only on the Commission’s website at www.sec.gov.

The Commission will consider whether to adopt rules and related amendments designed to provide an updated and more comprehensive approach to the regulation of funds’ use of derivatives and other transactions while enhancing investor protections. The amendments the Commission will consider also would include new reporting requirements to enhance the Commission’s ability to effectively oversee funds’ use of derivatives. The Commission also will consider whether to rescind existing guidance and exemptive relief addressing derivatives and other transactions that would be covered by this new regulatory framework.

For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact Vanessa A. Countryman, Office of the Secretary, at (202) 551-5400.

To view SEC upcoming events, click here.

Women in Listed  Derivatives: Next Generation Women in Finance Scholarship FUNraiser
Online auction: October 16-28, 2020
Spooky Trivia fun: October  28, 2020, 6:00-7:00 P.M. CDT via Zoom

Online auction is open now and is open to everyone.  Bidding ends at 7:00 P.M. CDT on October 28th.  Start your bidding now!  Many auction prizes were donated by local businesses and updated throughout the auction so check back often.

100% of the proceeds from the auction and the trivia event go to fund the Next Generation Women in Finance Scholarship.By request, teams will be randomly assigned.  Based on the feedback that received from members, there will be random teams this year.

If your organization would like to be a sponsor, you may donate directly via the auction website, donate goods or you can purchase tickets in bulk to give away.  If you would like to purchase bulk tickets or have something to auction, please send an email to wgb@womeninlistedderivatives.org.  Your company will be featured predominately on the auction and WILD website.

To register for the auction, click here.  The auction can be found by clicking here.

100 Women in Finance: Vote for ESG with Your Investment Dollars – The Power of Direct Indexing
Thursday, October 29, 2020, 6:00 P.M. CDT

By tapping technology and fractional share ownership, direct indexing enables customization at scale. Investors are able to tailor portfolios to meet their clients’ ESG objectives.

When a high-profile group like the Sierra Club Foundation adopts direct indexing to further its mission, are others more likely to follow? Learn more from Aperio and OpenInvest about the direct indexing landscape, typical client profile, portfolio optimization, ESG screening and impacts to returns, among other topics.

Key issues are:

  • What is direct indexing and what makes it possible?
  • Is direct indexing the next wave?
  • What are the benefits and trade-offs of direct indexing?
  • How can direct indexing help move the needle for ESG?

Please register promptly as capacity is limited. Send your questions to ncalif@100women.org by Tuesday, October 27, 2020, or you may submit questions during the webinar.

For more information, click here.

Ignite Exchange Webcast: Tech Innovation In the Middle of a Pandemic for Asset Management Firms
Friday, October 30, 10:30-11:15 A.M. CDT

Asset management firms have long worked to harness advances in technology to transform their businesses.  But the coronavirus pandemic has forced firms to shift their innovation work from in-person collaboration to video conferences and home-office development.

Panelists Hans Brown of BNY Mellon and Wendy Harrington of Nuveen will share how they have advanced technology innovation, despite the challenges presented by the lockdown.

All Exchanges are recorded, so even if you cannot attend the initial broadcast, be sure to register now, so we can notify you when the archive becomes available.

If you have questions for our panelists, please send them to TheExchange@Ignites.com. We will select from those questions and ask them during the live event.

Ignites subscribers can register by clicking here.

FREE: Stradley Ronon and Conner Strong & Buckelew: An Introduction to Risk & Insurance
Tuesday, November 24, 2020, 12:00-1:00 P.M. CDT

Small and medium-sized businesses and organizations − both for-profit and nonprofit − rarely have a dedicated risk management officer, let alone a dedicated department experienced at addressing insurance needs. In this ever more complicated world, how can you know what insurances are available, what they do, what you need and what questions to ask your insurance broker when placing your insurance? After all, insurance is like any other asset and needs to be appropriately managed to maximize its benefits.

Join our industry panelists to hear more about demystifying the types of insurance policies your organization needs, including:

  • Auto
  • Business Interruption
  • Comprehensive General Liability
  • Cyber Risk
  • Directors and Officers Liability
  • Errors and Omissions Liability
  • Event Cancellation
  • Flood
  • Property and Fire
  • Workers Compensation/Employment Practices Liability

The Presenters will be Craig R. Blackman of Stradley Ronon and Justin R. Ackerman of Conner Strong & Buckelew.

To register, click here.

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