April 16, 2021 Alert

Hi all,

Below are this week’s alerts for the Investment Network. Due to increasing time constraints, this will be our last Investment Network alert until further notice.  We cannot wait to start seeing everyone again in person soon!  Until then, best wishes. You can still follow my updates on LinkedIn.   – Nicole Kalajian (formerly Kuchera)

This Issue’s Topics:

  • JOB: First Trust Advisors L.P.: Deputy Chief Compliance Officer
  • Client Alert: IRS Revises CFC Practice Unit Guidelines
  • Client Alert: Are You Sure You Can Use the QPAM Exemption
  • Client Alert: DOL Issues Guidance on 2020 Investment Advice Exemption
  • 100 Women in Finance: Essential Insights on ESG
  • New SEC Marketing Rule: What You Should Know – Part II
  • CBA Futures & Derivatives Law Committee Meeting – Digital Assets: Recent Developments, Cases, and Regulatory Priorities
  • GAIM Ops Connect NY Edition
  • ACG Chicago: Family Investing Case Study: How Family Investment Teams Can Partner to Build Great Businesses
  • FREE: ACG & SAP: Maximizing the Value of MA through Technology
  • 6th Family Office FinTech Summit: The 2020s Toolkit for Family Offices
  • ICI: General Membership Meeting (GMM) and Operations and Technology Conference (OTC)
  • The Women in Law Summit Series: Driving Diversity in Law & Leadership

Continue Reading “April 16, 2021 Alert”

March 26, 2021 Alert

Hi all,

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

This Issue’s Topics:

  • JOB: Investment Company Institute: Counsel (Full-Time)
  • HFA Seeks Nominations to Global Board of Directors
  • SEC FAQ: Marketing Compliance Frequently Asked Questions
  • NFA Interpretive Notice: NFA Compliance Rules 2-9 and 2-36: Members’ Use of Third-Party Service Providers
  • Proposed NFA Compliance Rule 2-50 and Related Interpretive Notice: CPO Notice Filing Requirements
  • 100 Women in Finance Webinar: FundWomen: The Investment Case for Diverse Lens Investing
  • FREE: Understanding the Digital Asset Market – Intro to Blockchain, Cryptocurrency and Today’s Institutional Landscape
  • FREE: Women In Derivatives (WIND): 6th Annual Washington Update
  • 100 Women in Finance Webinar: FundWomen Series: Closing the Funding Gap for Female Fund Managers and Female Entrepreneurs
  • PEAK Webinar: The Annual Meeting: Best Practices for Virtual & Moving Forward
  • Join the New NSCP Blockchain & Fintech Roundtable Monthly
  • PEAK Webinar: The Rise of Co-Investing by LPs in Early-Stage Tech: Why it’s Happening & Where it’s Headed
  • FREE: TABB Forum & Global DCA: Crypto Connection 2021

Continue Reading “March 26, 2021 Alert”

March 19, 2021 Alert

Hi all,

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

This Issue’s Topics:

  • Job Opportunity: Efficient Capital Management
  • SEC ESG Disclosures – Keeping Pace with Developments Affecting Investors, Public Companies and the Capital Markets
  • Client Alert: American Rescue Plan Package Includes Several Tax Provisions
  • SEC Staff Statement on Investment Company Cross Trading
  • FREE: Women in Derivatives: Women’s History Month – Friday Speaker Series Women in ETFs Celebrating Women’s History Month: Achieving an Equal Future in a COVID-19 World
  • FREE: Two Prime: Digital Asset Derivatives and The Rise of Institutional Investors
  • 100 Women in Finance Webinar: Closing the Gender Gap and Advancing in Private Equity
  • HFA Webinar: Opportunities in Energy Markets
  • Chicago Financial Women Webinar: Benefits of Mentorship and Navigating Asking for More
  • FREE: Client Webcast: The Closed-End Fund Road Trip: Navigating a Long and Winding Route
  • Agecroft Partners and HFA: Gaining the Edge | Global Virtual Cap Intro 2021

Continue Reading “March 19, 2021 Alert”

March 11, 2021 Alert

Hi all,

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

This Issue’s Topics:

  • Job Opportunity: Stradley Ronon: Financial Services Litigation – Staff Attorney or Counsel
  • NFA Moving Forward with Supervisory Framework for Outsourcing Arrangements
  • NFA Proposes New Reporting Requirements for Commodity Pool Operators
  • FINRA Provides Guidance on Common Sales Charge Discounts and Waivers for Investment Company Products
  • CI: 2021 Virtual Mutual Funds and Investment Management Conference
  • CBA Futures And Derivatives Law Committee Meeting: SRO Enforcement Trends
  • 100 Women in Finance Webinar: Fireside Chat with Naseem Sagati Aghili, Meredith Jackson and Vicki Marmorstein
  • PLANSPONSOR Webinar: Considering ESG Factors in Investment Selection

Continue Reading “March 11, 2021 Alert”

March 4, 2021 Alert

Hi all,

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

This Issue’s Topics:

  • SEC Final Rule: Investment Adviser Marketing
  • SEC Investor Bulletin: Environmental, Social and Governance (ESG) Funds
  • SEC Division of Examinations Announces 2021 Examination Priorities
  • The Division of Examinations’ Continued Focus on Digital Asset Securities
  • Client Alert: COVID-19 Relief for Employees Who Participate in Flexible Spending Accounts
  • REMINDER & UPDATE: Global Digital Asset & Cryptocurrency Association Membership Enrollment is Now Open!
  • REMINDER: Chicago Financial Women Virtual Networking Event: Celebrate International Women’s Day!
  • IAA: 2021 Virtual Investment Adviser Compliance Conference
  • WDCCRT: SEC Speaker Marta Rodgers Fischl – Division of Examinations
  • FIA: L&C Virtual 2021: 43rd Annual FIA Law and Compliance Division Conference on the Regulation of Futures, Derivatives and OTC Products
  • Consensus by Coindesk

Continue Reading “March 4, 2021 Alert”

February 25, 2021 Alert

Hi all,

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

This Issue’s Topics:

  • FREE: The Activist Insight Podcast: ESG Developments
  • SEC Division of Investment Management Primer
  • ISS Whitepaper: Volatile Transitions Navigating ESG in 2021
  • Client Alert: Complying with the CFTC’s New Statutory Disqualification Bar for Exempt CPOs — Answers to Frequently Asked Questions
  • MFDF: ESG, Proxy Voting and Engagement – Where DOL and SEC Regulation has Been and Where it May be Going
  • Chicago Financial Women Virtual Networking Event: Celebrate International Women’s Day!

Continue Reading “February 25, 2021 Alert”

February 18, 2021 Alert

Hi all,

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

This Issue’s Topics:

  • Client Alert: New IRS Guidance on Deduction Limit for Corporate Cash Contributions
  • Client Alert: DOL’s Optical Illusion – Fiduciary Investment Advice Status
  • Chicago Bar Association Future and Derivatives Law Committee Meeting: CFTC Regulatory Roundup
  • ACG Chicago NextGen Leaders: CEO Connect

Continue Reading “February 18, 2021 Alert”

February 12, 2021 Alert

Hi all,

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

This Issue’s Topics:

  • White Paper: Comprehensive Analysis and Application of the SEC’s New Marketing Rule
  • FREE: Family Office Exchange (FOX) Webcast Replay: Ten Dynamic Forces For Change
  • FREE: Stradley, Ronon and EY Webcast: An Evolving Industry: Mutual Funds Converting to ETFs – What You Need to Consider
  • CBA Securities Law Committee Meeting: Market Manipulation – Views from our Regulators
  • 100 Women in Finance Webinar: Fireside Chat with Sharon Bowen, former CFTC Commissioner
  • PEAK: Women’s Private Equity Summit

Continue Reading “February 12, 2021 Alert”

February 5, 2021 Alert

Hi all,

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

This Issue’s Topics:

  • Client Alert: An IP Guide to the Consolidated Appropriations Act of 2021
  • Client Alert: CFTC Modernizes Offshore CPO Exemption, Aligns Regulation of Offshore Intermediaries with Global Practices and Current Commission Policies
  • Client Alert: SEC Adopts New Rule for Good Faith Determination of Fair Value
  • Global Digital Asset & Cryptocurrency Association Membership Enrollment is Now Open!
  • FREE: Foreside: New SEC Marketing Rule: What You Should Know

Continue Reading “February 5, 2021 Alert”

January 28, 2021 Alert

Hi all,

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

This Issue’s Topics:

  • ABA: Virtual Derivatives and Futures Law Committee Winter Meeting 2021
  • FREE: Duff & Phelps Network of Women Virtual Event: Maintain and Expand Your Network While Working Remote
  • WDCCRT Webinar: The SEC’s New Marketing Rule – A Deep Dive into the Release
  • 100 Women in Finance Webinar: Using AI and Social Media to Evaluate and Advance ESG
  • FREE: Grant Thornton LLP: Regulatory and Policy Developments Impacting Asset Valuation Commercial Building Sky View
  • FREE: Stradley Ronon and Kreischer Miller Webcast: Cyber Risk and Cyber Insurance Is Your Company Protected?

Continue Reading “January 28, 2021 Alert”

Posts navigation

1 2 3 4 10 11 12
Scroll to top