Below are this week’s alerts for the Investment Network. This will be the last alert for 2020. Wishing all members a happy and safe holiday season, and a Happy New Year in 2021!
This Issue’s Topics:
Client Alert: The CFTC’s New and Improved Form CPO-PQR: Navigating the Revised Form and Filing Landscape
OCIE Risk Alert: Observations from Examinations of Broker-Dealers and Investment Advisers: Large Trader Obligations
Client Alert: IRS Issues Final Regulations on Transportation Expenses
SEC Accounting and Disclosure Information: ADI 2020-11 Registered Funds’ Risk Disclosure Regarding Investments in Emerging Markets
ICI Webinar: The New SEC Rule on Funds’ Use of Derivatives
The Annual Women’s Alternative Investment Summit – Virtual
Below are this week’s alerts for the Investment Network. With the holidays approaching, we will take a two week hiatus from sending out the alert. We will return the week of December 7th. Enjoy!
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.
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:
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
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.
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.
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.