January 9, 2020 Alert

Hi all,

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

This Issue’s Topics:

  • Chicago Booth Finance Roundtable: Will Global Imbalances Expand or Diminish in 2020?
  • 100 Women in Finance – NextGen Chicago: Launch and POWER Up Leadership Workshop
  • FREE: Baker Tilly: Asset Management Breakfast Briefing
  • FREE: ACG Chicago: The National Center for the Middle Market’s Q4 ‘19 Middle Market Indicator Webinar
  • REMINDER: FREE: Washington DC Compliance Roundtable: CFTC Adopts Rules Streamlining the Regulations for Commodity Pool Operators and Commodity Trading Advisors
  • REMINDER: FREE: Hedge Fund Association Symposium: Philanthropy & Charitable Giving 50-Day Countdown!

Events:

Chicago Booth Finance Roundtable: Will Global Imbalances Expand or Diminish in 2020?
Thursday, January 9, 2020, 6:00-9:00 P.M.
Gleacher Center, 450 Cityfront Plaza, Room 400, Chicago, IL

Global economic growth is slowing, in part because massive excess capacity in industry in China and tens of millions of unoccupied apartments are leading to reduced imports of machine tools and copper and other primary products. Germany and its neighbors have extraordinarily large trade surpluses. Taiwan, Singapore and Malaysia have even larger trade surpluses as a share of their GDPs. The European Central Bank under the leadership of its former chair has promoted the development of negative interest rates, in part to reduce the price of the Euro and sustain the large trade surpluses. The counterpart of these trade surpluses in Europe and Asia is a U.S. trade deficit of four percent of U.S. GDP, which has contributed to a U.S. fiscal deficit that is approaching five percent of U.S. GDP. These imbalances are likely to increase as growth slows. If the imbalances are too large to be sustained, they won’t be sustained. What’s it all mean to the world economy? Come to the year’s kickoff of the International Roundtable for the always provocative views of Dr. Aliber.

For more information, click here.

100 Women in Finance – NextGen Chicago: Launch and POWER Up Leadership Workshop
Tuesday, January 14, 2020, 5:00-8:30 P.M.
Convene, 311 W. Monroe St., Chicago, IL

Peer Engagement, Education, and Impact: 100 Women in Finance focuses on it all and on January 14th will launch its NextGen Chicago group. The EY POWER Up seminar with featured speaker Gail Lyman, is designed for women who aim to cultivate their leadership skills. In this interactive and networking session, participants develop the behaviors that can help build power and drive success in leadership roles.

Following the session, you will network with your peers and colleagues as you learn more about 100 Women in Finance, NextGen and plans for future programs.

This program is open to all 100WF members. You are encouraged to RSVP and bring a female colleague with up to 10 years of experience as a guest. She will hear about the mission of 100WF and the benefits of a global peer network.

Members can RSVP by clicking here.

FREE: Baker Tilly: Asset Management Breakfast Briefing
Thursday, January 16, 2020, 8:30-10:30 A.M.
Baker Tilly, 205 N. Michigan Ave., Chicago, IL

As companies search for new avenues for growth, they are continually faced with increasing competitive pressure and rapid advancements in technology. As such, the ability to fully understand and analyze multiple data types is now more than just a milestone on a roadmap, it’s now a critical requirement to success.

Learning Objectives:

In this session, you will understand:

  • The types of data available.
  • How those types of data are used in today’s environment.
  • Different types of analytical models used today.
  • How to assess your organization’s maturity in data management.
  • How to advance your data strategy initiatives.

Who should attend? Private Equity, Venture Capital and Asset Management Professionals.

For more information, click here.

FREE: ACG Chicago: The National Center for the Middle Market’s Q4 ‘19 Middle Market Indicator Webinar
Wednesday, January 22, 2020, 12:00-1:00 P.M.

Representing nearly 200,000 American companies in every industry nationwide, the U.S. middle market is an engine driving economic growth. With annual revenues ranging from $10 million to $1 billion, middle-market firms collectively generate one-third of U.S. private sector GDP and employment. To understand the challenges and opportunities facing middle market companies, the National Center for the Middle Market (NCMM) developed the quarterly Middle Market Indicator.

Join ACG and NCMM Executive Director Tom Stewart to discuss the release of the 2019 4Q Middle Market Indicator. Tom will share what the quarterly data show and what they mean for middle-market businesses, and those that work with them.

The webinar will cover:

  • How are these firms currently performing in terms of revenue growth and job creation? Are they planning to hire? What is their future outlook? Challenges?
  • What is the economic outlook for the middle market in 2020?
  • Year-over-year middle-market trend data compared to small and large firms.
  • Attendees will be able to ask questions during the webinar. For more information, click here.

REMINDER: FREE: Washington DC Compliance Roundtable: CFTC Adopts Rules Streamlining the Regulations for Commodity Pool Operators and Commodity Trading Advisors
Thursday, January 23, 2019, 3:30-5:30 P.M. (networking to follow)
Stradley Ronon, 191 N. Wacker Dr., Suite 1601, Chicago, IL (live connection to DC)

Join us and Amanda Olear, Acting Deputy Director of the Commodity Futures Trading Commission (“CFTC”), to learn about and discuss the CFTC’s recent amendments to the Part 4 Regulations. These amendments intend to simplify the regulatory obligations of commodity pool operators (“CPOs”) and commodity trading advisors (“CTAs”).

In this session, we will cover the CFTC’s codification of various long-standing staff advisories and no-action letters, as well as its harmonization of relief with other regulators, such as the Securities and Exchange Commission (“SEC”).

CFTC rule amendments that we will discuss in this session include:

  • Adoption of CPO and CTA exemptions for entities meeting definition of “family office,” similar to the exclusion from investment adviser registration provided by the SEC;
  • Permission of general solicitations by private funds operating under Rules 4.13(a)(3) and 4.7 to correspond with securities law amendments to Regulation D and 144A;
  • Clarification that the Rule 4.5 exclusions for registered investment companies (“RICs”) should be claimed by the entity that solicits for the fund, which is typically the registered adviser (as opposed to the fund itself);
  • Inclusion of business development companies (“BDCs”) in the Rule 4.5 exclusion from CPO registration, similar to the treatment of RICs; and
  • Elimination of certain filing requirements in connection with Forms CPO-PQR and CTA-PR.

Amanda Olear is Acting Deputy Director for the Registration and Compliance Branch and Associate Director in the Managed Funds and Financial Requirements Branch in the Division of Swap Dealer and Intermediary Oversight (DSIO) at the CFTC. Ms. Olear has worked at the CFTC since 2007 and has focused on the operations of commodity pool operators and commodity trading advisors, but more recently has expanded her responsibilities to include registration and compliance issues involving swap dealers, introducing brokers, and associated persons. Ms. Olear regularly advises members of the public regarding the application of Part 4 of the CFTC’s regulations.

Nicole Kalajian of Stradley Ronon will moderate and host the Chicago session. E-mail Kathy Petrusek at kpetrusek@stradley.com to register.

REMINDER: FREE: Hedge Fund Association Symposium: Philanthropy & Charitable Giving 50-Day Countdown!
Tuesday, February 25, 2020, 4:30-7:30 PM
150 N. Riverside, Chicago, IL (river front view!)

Please join us 50 days prior to April 15th (tax day) for this timely HFA Symposium, Philanthropy & Charitable Giving: The 50-Day Countdown. An outstanding panel of speakers, including advisers, impact investors and philanthropists, will share actionable insights, non-traditional strategies and fascinating case studies. Attendees will enjoy valuable takeaways, Q&A opportunities and a networking cocktail reception after the panel program. Symposium topics include:

  • Identification of new trends and innovative approaches to philanthropy.
  • When embarking on a new strategic initiative, what type of legal and/or tax structures should be considered or chosen and why?
  • How does impact investing balance sustainable social change with economic returns?
  • How can collaborative non-traditional options achieve broad community impact?

The speakers will be Ric Estrada of Metropolitan Family Services, Jennifer Gniady of Stradley Ronon and Suzanne Currie of Celadon Financial Group.  Nicole Kalajian of Stradley Ronon will be moderating the Symposium. 

Investment Network members receive free admission by using promo code: 50daycountdown. For more information, click here.

December 20, 2019 Alert

Hi all,

Below are this week’s alerts for the Investment Network.  Note that there will be no further alerts until the New Year in honor of the holidays.  Happy holidays!  We wish you the best for the New Year.

This Issue’s Topics:

  • FREE: Washington DC Compliance Roundtable: CFTC Adopts Rules Streamlining the Regulations for Commodity Pool Operators and Commodity Trading Advisors
  • 100 Women in Finance EDUCATION SESSION #1081: How Mindfulness Helps You Improve Attention, Manage Stress and More
  • ACG Chicago Sunset Session: Key Considerations and Lessons Learned: Why PE Funds Need to Care About Revenue Recognition
  • REMINDER: Hedge Fund Association Symposium: Philanthropy & Charitable Giving 50-Day Countdown!
  • ACG Chicago: 21st Annual Midwest Capital Connection

Continue Reading “December 20, 2019 Alert”

December 13, 2019 Alert

Hi all,

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

This Issue’s Topics:

  • FREE: ACG WEBINAR: PitchBook’s Private Equity Outlook | Assessing Themes: 2019 and Beyond
  • FREE: Chicago Bar Association Futures & Derivatives Law Committee Meeting: Underlying Concepts of Derivative Instruments
  • (FREE WITH EXCLUSIVE DEAL) and REMINDER: Washington DC Compliance Roundtable (WDCCRT) Webinar: Unpacking the SEC’s Proposed Amendments to the Advertising and Solicitation Rules
  • Chicago Booth Finance Roundtable: Accounting for Entrepreneurs: from Start-Up to IPO
  • ACG Chicago: Winter Social

Continue Reading “December 13, 2019 Alert”

December 5, 2019 Alert

Hi all,

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

This Issue’s Topics:

  • Client Alert: Summary of the SEC’s Re-Proposal on the Use of Derivatives by Registered Funds and BDCs
  • Client Alert: Tax Insights, November 27, 2019 IRS Issues Final CFC Regulations
  • Chicago Financial Women (CFW): Favorite Things Gift Exchange and Book Swap
  • FREE: Chicago SRI/ESG Breakfast Meeting: Corporate Engagement
  • ACG Chicago: The Classic Market Trends Breakfast
  • FinTank’s Blockchain Meetup with Congressman Bill Foster

Continue Reading “December 5, 2019 Alert”

November 27, 2019 Alert

Hi all,

Below are this week’s alerts for the Investment Network.  Enjoy and have a Happy Thanksgiving!

This Issue’s Topics:

  • Stradley Ronon Client Alert: SEC Proposes to Modernize the Advertising and Cash Solicitation Fee Rules for Investment Advisers
  • DePaul University’s Sixth Annual Cyber Risk Conference: The Crown Jewels: Protecting What’s Important
  • ACG Chicago: The Rapidly Evolving Cannabis Industry: What’s Next?
  • FREE: Chicago Bar Association Alliance for Women’s Holiday Party
  • FREE: Chicago Crypto Association and Digital Assets Working Group: Let’s Create the First Cryptocurrency SRO
  • Washington DC Compliance Roundtable Webinar: Unpacking the SEC’s Proposed Amendments to the Advertising and Solicitation Rules
  • REMINDER: Hedge Fund Association Symposium: Philanthropy & Charitable Giving 50-Day Countdown

Continue Reading “November 27, 2019 Alert”

November 21, 2019 Alert

Hi all,

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

This Issue’s Topics:

  • FREE: Women in Derivatives and National Association of Women Lawyers Webinar: Libor – Going, Going, Gone.  What you Need to Know about LIBOR Transition
  • FREE: Plante Moran Webinar: New Private Equity Valuation Requirements in 2019: 3 Things You Should Know
  • FREE: Baker Tilly Webinar: Operationalizing Data Privacy: Leading Practices for Regulatory Compliance
  • ACG Chicago NextGen Leaders: NextGen Trivia Night

Continue Reading “November 21, 2019 Alert”

November 14, 2019 Alert

Hi all,

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

This Issue’s Topics:

  • Chicago Financial Women: Jewelry & Stones 101 – Antique Roadshow
  • Chicago Bar Association Securities Law Committee Meeting
  • CAIA Chicago: Options for Risk Management and Buffered Protection in Times of Volatile Markets
  • Hedge Fund Association Symposium: Philanthropy & Charitable Giving 50-Day Countdown

Continue Reading “November 14, 2019 Alert”

November 8, 2019 Alert

Hi all,

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

This Issue’s Topics:

  • Chicago Bar Association Futures & Derivatives Law Committee Happy Hour
  • FREE: Chicago Booth: Economic Uncertainty, Event Risk, and Policy Responses: A Look into 2020
  • FinTank: Blockchain Scenarios in Financial Services/Capital Markets: by Microsoft
  • ACG Chicago: Women’s 6th Annual Holiday Social

Continue Reading “November 8, 2019 Alert”

October 31, 2019 Alert

Hi all,

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

This Issue’s Topics:

  • REMINDER: FREE: Stradley Ronon: Investment Management Regulatory Update Annual Seminar
  • FREE: ACG Webinar: Refinitiv Capital Markets Briefing – 2019 Review
  • ACG Chicago: Fall Social

Events:

REMINDER: FREE: Stradley Ronon: Investment Management Regulatory Update Annual Seminar
Tuesday, November 5, 2019, 7:30 A.M.-4:00 P.M. (Lunch included)
Bank of America Conference Center, 135 S. LaSalle St., 43rd Flr. Meeting Room, Chicago, IL

Please join Stradley Ronon’s Investment Management Group for our annual seminar and discussion of new developments affecting the industry.

The topics will include: SEC Enforcement/OCIE Developments, Investment Company & ETF Developments, Regulation BI/Form CRS/IA Interpretive Release, Tax Issues Affecting the Investment Management Industry, Private Fund & CFTC Developments, Closed-End Fund Update, Proxy Voting Guidance from the SEC and Cybersecurity Issues Affecting the Financial Services Industry.

The speakers will be Stradley Ronon attorneys: Alan Goldberg, Dave Glatz, Gregory DiMeglio, Lawrence Stadulis, Chris Scarpa, Mark Greer, Nicole Kalajian, Kristin Jones, John Ekblad and Gabriella Leyhane.

Lunch will be served.  5.75 hours of CLE credit in Illinois, Indiana and Wisconsin is pending.  This program has been approved by the Pennsylvania Continuing Legal Education Board for 5.5 hours of substantive CLE credit.

To register, click here.

FREE: ACG Webinar: Refinitiv Capital Markets Briefing – 2019 Review
Thursday, November 7, 2019, 9:00-10:00 A.M.

How active will capital markets will be in H2?

H1 2019 marked a three-year low for global ECM. The US $307 billion raised was 25% down on last year, based on 23% fewer deals. But Q2 bounced back 39%, representing the best three-month period in the past 12 for new equity issuance. DCM was broadly flat in the first half, with $3.9 trillion raised, a two percent year-on-year increase. The quarterly debt picture was a mirror image of equities: the strongest start to the year since 2017, followed by a 14% slump in Q2.

Attendees will be able to:

  • Access a detailed deep dive of the US capital markets in 2019.
  • Learn key trends driving ECM and DCM activity so far this year and gain a forward-looking view into 2020.
  • Explore how the US macro-economic and political trends are expected to impact this landscape.

Join us for a full review of the capital markets scene so far this year and a forward-looking view of what is yet to come as we head to 2020.

The speakers will be Matthew O’Toole of Refinitiv and Anthony Hughes of International Financing Review.

To register, click here.

ACG Chicago: Fall Social
Thursday, November 21, 2019, 5:00-7:30 P.M.
Plante Moran, 10 S. Riverside Plaza, Chicago, IL

Don’t miss out on the last social of 2019! Find your next connection, deal, or business opportunity at this ACG Chicago networking event.

ACG is the global community for M&A dealmakers and business leaders focused on driving growth. ACG Chicago provides unique access and unparalleled opportunities through local, regional & national events, publications and specialty networks.

To register, click here.

October 24, 2019 Alert

Hi all,

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

This Issue’s Topics:

  • Coquest: 2020 CTA Challenge
  • FREE: Phillip Capital Group: 7th Annual Trading Asia Symposium
  • Washington DC Compliance Roundtable: Reg BI, Form CRS and Advisers Conduct Standards Webinar
  • FIA 35th Annual Futures & Options Expo
  • Interxion and euNetworks: FIA Drinks
  • 100 Women in Finance: FUNdraiser at Fulton Market Emporium
  • REMINDER: Pan Asian American Business Council and Global Cyber Security Initiative: Global Cyber Security Initiative (GCSI) Conference 2019
  • GCM Grosvenor: Small + Emerging Managers Conference (SEM) 2019

Continue Reading “October 24, 2019 Alert”

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