October 28, 2020 Alert

Hi all,

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

This Issue’s Topics:

  • REMINDER: National Regulatory Services Fall Compliance Conference
  • KPMG Virtual Event: Audit Committee Institute (ACI) Mutual Fund Forum Series 1 – Regulatory Discussion
  • ICI Webinar – Leading Voices: A Conversation About Diversity and Inclusion – October 2020
  • SEC Open Meeting To Consider Amendments to 1933 Act Exemptions
  • ICI: 2020 Virtual Closed-End Fund Conference
  • LabCFTC Empower Innovation 2020 Event: The Future of Digital Finance
  • NSCP: Virtual: 2020 Northeast Regulatory Interchange

Events:

REMINDER: National Regulatory Services Fall Compliance Conference
October 26-29, 2020

Join NRS at our Fall 2020 Compliance Conference where industry experts will address how investment adviser and broker-dealer firms can successfully navigate the disruptive currents of regulatory change and adapt procedures to compliance programs.

Join our Nicole Kalajian of Stradley Ronon for her panel on the Latest on the New DOL Fiduciary Rule (IA) (Intermediate) on October 29th.

For more information, click here.

KPMG Virtual Event: Audit Committee Institute (ACI) Mutual Fund Forum Series 1 – Regulatory Discussion
Thursday,  October 29, 2020, 9:00-10:30 A.M. CDT

Please join us for an event will be regulatory issues and will include panel discussions on the recent SEC valuation and disclosure proposals. The event will be hosted by Sean McKee, National Practice Leader of KPMG and will be focused on regulatory issues and will include panel discussions on:

  • SEC valuation proposal
  • SEC Disclosure proposal

We are excited to hear from the following industry leaders:

  • Neal Andrews, Blackrock
  • Laura Del Prato, Fidelity
  • Richard Fabietti, HSBC
  • Brian Gallagher, Columbia Threadneedle
  • Matt Giordano, KPMG
  • David Grim, Stradley Ronon Stevens & Young LLP
  • Cynthia Hostetler, Invesco
  • Brian Janssen, Capital Group
  • Kim Zavislak, KPMG

For more information, click here.

ICI Webinar – Leading Voices: A Conversation About Diversity and Inclusion – October 2020
October 29, 2020, 1:00-2:00 P.M. CDT

Join a timely and important conversation about diversity and inclusion (D&I) in the asset management industry at ICI’s October 29 webinar. Industry leaders will address:

  • Strategies to strengthen D&I within the asset management industry
  • How social justice protests and the pandemic have affected D&I efforts
  • Talent cultivation, mentorships, sponsorships, and more
  • How to foster candid conversations within the workforce – sharing experiences and frustrations

For more information, click here.

SEC Open Meeting To Consider Amendments to 1933 Act Exemptions
Monday, November 2, 2020, 9:00 A.M. CDT

The Commission will consider whether to adopt rule amendments to facilitate capital formation and increase opportunities for investors by expanding access to capital for small and medium-sized businesses and entrepreneurs across the United States. Specifically, the Commission will consider whether to adopt rule amendments to simplify, harmonize, and improve certain aspects of the framework for exemptions from registration under the Securities Act of 1933 to promote capital formation while preserving or enhancing important investor protections and reducing complexities in the exempt offering framework that may impede access to investment opportunities for investors and access to capital for businesses and entrepreneurs.

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

ICI: 2020 Virtual Closed-End Fund Conference
November 4-5, 2020

In a competitive world, success often depends on getting the latest information – and getting a glimpse at what is over the horizon. If you want to keep up to date on issues and emerging trends affecting closed-end funds, as well as benefit from the unique perspective of fund sponsors, independent directors, fund analysts, attorneys, regulators, and other participants in the closed-end fund ecosystem, then join us at the 2020 Virtual Closed-End Fund Conference.

Keep up to date on issues and emerging trends affecting closed-end funds, and benefit from the unique perspective of fund sponsors, independent directors, fund analysts, attorneys, regulators, and other participants in the closed-end fund ecosystem!

What to expect from the virtual conference:

  • Two days of live content on November 4–5 with live Q&A on most panels.
  • CLE and CPE credits available for both live and on-demand viewers.
  • Network with your peers in a reception on November 4.
  • Session highlights include panels on regulatory developments, shareholder activism, and more! Check out the program for more details.
  • Learn about the latest industry trends with sponsored thought leadership sessions.

Can’t attend the entire conference live? Access to the virtual conference platform and select recordings will be available after the conference on demand.

For more information, click here.

LabCFTC Empower Innovation 2020 Event: The Future of Digital Finance
November 17, 2020, 8:00 A.M. CDT

This interactive virtual series was developed to facilitate a dialogue on cutting-edge fintech innovation among innovators, regulators, market participants, and the public.

This session will feature “Tech Talks” and panel discussions with global innovation leaders to examine how novel solutions and forward-thinking strategies will shape the future. LabCFTC will also announce the winner of “Project Streetlamp,” the CFTC’s first Science Prize Competition focused on leveraging artificial intelligence (AI) and other technologies to identify unregistered foreign entities to add to CFTC’s Registration Deficient (RED) List.

For more information, click here.

NSCP: Virtual: 2020 Northeast Regulatory Interchange
Thursday, December 3, 2020, 12:00-3:30 P.M. CDT

Don’t miss the NSCP Regulatory Interchange with the SEC, FINRA & DOL.

The NSCP Regulatory Interchange will provide an informal virtual setting for Investment Adviser, Private Fund and Broker-Dealer industry professionals to hear from the regulators and ask questions.  *This event is closed to members of the press.

Hear SEC, FINRA and DOL regulators address the compliance questions and topics that matter most to you.

Continuing educations credits are available to CSCP designees only.

For more information, click here.

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

Continue Reading “October 22, 2020 Alert”

October 15, 2020 Alert

Hi all,

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

This Issue’s Topics:

  • OPPORTUNITY: The Coquest Call: 2021 CTA Challenge
  • FREE: Webinar Recording: Demystifying Valuation
  • REMINDER: FREE: Thompson Coburn and Exchange Analytics Webinar: Annual Chicago Conference on Futures and Derivatives
  • FREE: LabCFTC: Empower Innovation 2020 Virtual Event
  • 100 Women in Finance Webinar: The Urgency of More Sustainable Investing: How to Get to the Next Level
  • Hedge Fund Association: Perspectives on Fraud, Money Laundering & Cybersecurity
  • 100 Women in Finance Webinar: Engaging with Family Offices: A Conversation with John Studzinski CBE, Vice Chairman of PIMCO
  • Hedge Fund Association Webinar: LIBOR Transition
  • ACG Fall Summit
  • FREE: Stradley Ronon and Siegfried Advisory Webcast: Three Years for Long-Term Capital Gain

Continue Reading “October 15, 2020 Alert”

October 8, 2020 Alert

Hi all,

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

This Issue’s Topics:

  • JOB: Stradley Ronon Stevens & Young, LLP: Patent Agent or Associate Attorney/ Intellectual Property Group
  • REMINDER: FREE: Global Digital Asset and Cryptocurrency Association Formally Launches Operations; International Event Co-Hosted by Stradley Ronon & the Digital Asset Working Group (DAWG)
  • FREE: ACG/S&P Global Market Intelligence: ESG and Value Creation: What are the Opportunities for Private Equity Firms and Investment Banks?
  • R.I. Wednesday Webinar Series: Opportunities in Private Credit
  • FREE: SEC Virtual: National Compliance Outreach Seminar for Investment Companies and Investment Advisers
  • 100 Women in Finance Webinar: The Future of Asset Management with Suni Harford, President of UBS Asset Management

Continue Reading “October 8, 2020 Alert”

October 2, 2020 Alert

Hi all,

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

This Issue’s Topics:

  • Agecroft Partners: Gaining the Edge | Global Virtual Cap Intro 2020
  • Pan Asian American Business Council (PAABC): Market Volatility in the Covid Era
  • Hedge Fund Association: Managing Unconscious Bias
  • National Regulatory Services Fall Compliance Conference
  • 100 Women in Finance: 2020 Global FundWomen Week

Continue Reading “October 2, 2020 Alert”

September 25, 2020 Alert

Hi all,

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

This Issue’s Topics:

  • JOB: Compliance Director/Associate Counsel
  • OPPORTUNITY: Women in Listed Derivatives: 2021 Board Nominations
  • FREE: Joot Webinar: How to Manage Compliance Remotely
  • FREE: Two Sides of the American Coin: Innovation & Regulation of Digital Assets
  • CAIA Chicago (via Zoom): Allocators on Investing in the Post-COVID-19 World
  • 100 Women in Finance Webinar: Luminary Fireside Chat with Shellye Archambeau
  • 100 Women in Finance Webinar: Investor Perspectives – Hedge Fund Allocation
  • FREE: Global Digital Asset and Cryptocurrency Association (Global DCA) Formally Launches Operations with International Event Co-Hosted By Stradley Ronon & Digital Asset Working Group (DAWG)
  • FREE: Thompson Coburn and Exchange Analytics Webinar: Annual Chicago Conference on Futures And Derivatives

Continue Reading “September 25, 2020 Alert”

August 27, 2020 Alert

Hi all,

Below are this week’s alerts for the Investment Network.  Please note our alerts will be on a much-deserved hiatus until the week of September 21st. Enjoy! 

This Issue’s Topics:

  • 100 Women in Finance: Special Invitation to The Future of the World Trade Organisation with Dr Liam Fox MP
  • ICI Webinar: After the Pandemic: The Future of the Global Fund Industry
  • FREE: Sudrania Webinar: Investor Perspectives: Regulation and Oversight Panel
  • Washington DC Compliance Roundtable Webinar: National Futures Association Presentation
  • Washington D.C. Compliance Round Table Webinar: SEC Enforcement Update 2020
  • Mark Your Calendars for Joot: Managing Compliance in a Remote Environment Panel

Continue Reading “August 27, 2020 Alert”

August 20, 2020 Alert

Hi all,

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

This Issue’s Topics:

  • Job Opportunity: Compliance Manager
  • ACG Chicago: Virtual Chapter Social
  • 100 Women in Finance Virtual Meeting: Learn What it Takes for Women to Succeed in FinTech and Crypto
  • 100 Women in Finance Virtual Meeting: Annual Chicago FUNdraiser: Trivia Night
  • Fast Payments Council: Fall Member Meeting 2020
  • ICI: 2020 Securities Law Developments Virtual Conference

Continue Reading “August 20, 2020 Alert”

August 13, 2020 Alert

Hi all,

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

This Issue’s Topics:

  • JOB OPPORTUNITY: Chief Compliance Officer
  • Grant Thornton & Stradley Ronon: Are 401(k) Funds an Opportunity Private Equity Funds Should Pursue?
  • NRS: Mandates Beyond the Advisers Act: Anti-Money Laundering, ERISA Compliance and ’34 Act Section 13 Reporting for Investment Advisers
  • ACG Chicago: “Your Virtual Presence” & Networking
  • 100 Women in Finance Global Webinar: The Dynamics of Economic Recovery After the COVID-19 Crisis
  • Hedge Fund Association Charity Event: “All-In” for MS Virtual Poker Event
  • ICI Webinar: Achieving Operations Excellence: The Power of Transformation

Continue Reading “August 13, 2020 Alert”

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

Continue Reading “August 7, 2020 Alert”

Posts navigation

1 2 3 4 9 10 11
Scroll to top