January 22, 2021 Alert

Hi all,

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

This Issue’s Topics:

  • JOB OPPORTUNITY: Meeder Investment Management: Operational Risk and Investments Compliance Manager
  • ABA Whitepaper Update: Digital and Digitized Assets: Federal and State Jurisdictional Issues
  • FREE: Women in ETFs (WE): Global Virtual Conference
  • ICI Webinar: Understanding and Implementing the SEC’s New Fair Value Rules
  • ACG: Joint Chapter Virtual Networking

Continue Reading “January 22, 2021 Alert”

January 15, 2021 Alert

Hi all,

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

This Issue’s Topics:

  • Stradley Ronon Client Alert: Carried Interest Regulations Finalized by IRS
  • ACG: The State of Valuations in Light of Covid-19
  • FREE: CAIA: Private Equity Investing in the Flourishing Cannabis Industry
  • Small Business Investor Alliance: Outlook 2021: Navigating New Territory for Private Equity
  • ACG Chicago: The Classic Market Trends Breakfast: Market Trends 2021
  • ICI Webinar: ESG Fund Investing: The 2021 Landscape

Continue Reading “January 15, 2021 Alert”

January 8, 2021 Alert

Hi all,

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

This Issue’s Topics:

  • Stradley Ronon: New COVID-19 Relief Bill Includes Several Tax Provisions
  • Stradley Ronon: A Framework for the DOL’s New Proxy Voting Rule
  • Stradley Ronon: COVID-19 Vaccination: Five Steps for Employers Now
  • 100 Women in Finance Webinar: Post-Election Legislative Outlook: What Lies Ahead?
  • WDCCRT Web Event: Noteworthy SEC 2020 Rulemakings
  • ACG: Winter Summit
  • ACG: Joint Chapter Virtual Networking

Continue Reading “January 8, 2021 Alert”

December 18, 2020 Alert

Hi all,

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
  • ACG Chicago: The Classic Market Trends Breakfast

Continue Reading “December 18, 2020 Alert”

December 11, 2020 Alert

Hi all,

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

This Issue’s Topics:

  • Stradley Ronon: IRS Issues Final PFIC Ownership Regulations
  • ICI: 2020 Virtual Closed-End Fund Conference
  • FREE: SEC To Consider Investment Adviser Marketing Rules
  • FREE: Women in Derivatives (WIND): COVID-19 and Gender Equality: Countering The Invisible Workload
  • CBA Futures and Derivatives Law Committee Meeting – 2020 Election – Regulatory Impact
  • FREE: Global DCA Discussion Session – Keynote FinCEN Erik Kiefel – “Too Much or Not Enough? AML / KYC in the Digital Asset Industry”
  • 100 Women in Finance Webinar: UNPRI and Beyond: The Future of ESG
  • CBA Securities Law Committee Meeting: Covid-19 Issues
  • Washington DC Compliance Roundtable: SEC Presentation: Adviser & Private Funds Hot-Topics

Continue Reading “December 11, 2020 Alert”

November 20, 2020 Alert

Hi all,

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! 

This Issue’s Topics:

  • Announcement: Stradley Ronon Launches ESG Group
  • SEC Risk Alert: OCIE Observations: Investment Adviser Compliance Programs
  • SEC AML Sweep Exam Letter
  • Financial Poise: Digital Assets
  • Chicago Financial Women Virtual Holiday Event: Favorite Things & Gift Giveaway

Continue Reading “November 20, 2020 Alert”

November 13, 2020 Alert

Hi all,

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

This Issue’s Topics:

  • PUBLICATION: Stradley Ronon: Key Considerations: DOL’s New Final Regulation on ERISA’s Investment Duties (ESG-Related or Not)
  • PUBLICATION: Stradley Ronon: SEC Adopts New Rule on the Use of Derivatives by Registered Funds and BDCs
  • OPPORTUNITY: Flow Traders N.V.: Supervisory Board Director
  • FREE: JP Morgan Chase: Live Webcast
  • FREE: FIS/SmartBrief: The Changing Face of Derivatives – Checkpoint
  • Perspectives: Taking the Next Step: Insights on IPOs, SPACs and Cross-Over Rounds in 2021?
  • CBA Joint Futures and Derivatives Law/Securities Law Committees Meeting: SEC/CFTC Regulatory and Enforcement Trends for 2021
  • 100 Women in Finance Webinar: 2021 Global Economic Outlook – Canadian Economists’ View
  • FREE: Moderne’s Innovation Day
  • ACG Chicago: 2020 Success Stories in the Age of Covid

Continue Reading “November 13, 2020 Alert”

November 6, 2020 Alert

Hi all,

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

This Issue’s Topics:

  • JOB: Stradley Ronon: Document Review Attorney – Non-Partnership Track
  • JOB: Stradley Ronon: Patent Agent or Associate Attorney – Intellectual Property (Life Sciences)
  • 100 Women in Finance Webinars:
    • Investing with Female Fund Managers – An Endowment & Foundation Perspective
    • Family Office Fireside Chat – Capturing Investment Advantages While Tackling Investment Challenges
    • APAC Senior Investors Talk
    • Navigating Unconscious Bias to Build Conscious Inclusion
  • NRS: Trading Practices, Portfolio Compliance and Related Enforcement Cases
  • FREE: ACG: A Deep Dive into US Capital Markets in 2020
  • FREE: Stradley Ronon and Siegfried Advisory Webcast: Three Years for Long-Term Capital Gains
  • The De-Phi (Decentralized Philanthropy) Crypto For Good! Conference
  • FREE: Chicago Loop Alliance Foundation: Re ACTIVATE a Virtual Fundraiser

Continue Reading “November 6, 2020 Alert”

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”

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