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April 2021

Join the New NSCP Blockchain & Fintech Roundtable Monthly

April 20 @ 11:30 am - 12:30 pm CDT

April focus: SEC Risk Alert regarding digital assets and recent enforcement cases. Join Beth Haddock, Cassie Lentchner, Rebecca Rettig and NSCP for a new Blockchain and Fintech Roundtable for Compliance Professionals. Join this Community: Benchmarking & candid Q&A Insights into regulatory expectations Help with implementation challenges Regulator education via NSCP credibility & network To join,…

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100 Women in Finance: Essential Insights on ESG

April 21 @ 11:00 am - 12:00 pm CDT

Environmental, Social and Governance (ESG) strategies are rapidly evolving to meet investor demand, bolstered by significant regulatory tailwinds. Learn the latest in regulatory developments and how to actively engage with stakeholders on ESG issues. Explore the ethics of ESG short selling, the latest in ESG product development and opportunities for growth. Please email your questions…

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FREE: Stradley Ronon Webcast: The Closed-End Fund Road Trip: Navigating a Long and Winding Route

April 21 @ 12:00 pm - 1:30 pm CDT

Join our panelists as they circumnavigate through the legal challenges and current roadblocks and provide alternative directions for the closed-end funds’ highway, including: Route 1 Listed CEFs – The steady road, with a few twists and turns. Route 2 Interval Funds – The express lane, moving fast with a few traps for the unwary. Route…

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PEAK Webinar: The Rise of Co-Investing by LPs in Early-Stage Tech: Why it’s Happening & Where it’s Headed

April 21 @ 12:00 pm - 1:00 pm CDT

Co-investing is not new to limited partners. Lured in by the potential for strong returns and reduced fees, institutional investors have been teaming up on deals with private equity firms for some time. But what is new for many LPs is co-investing in venture deals, often early-stage ones. In this special webinar sponsored by 500…

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Foreside and Stradley Ronon Webinar:  New SEC Marketing Rule: What You Should Know – Part II

April 21 @ 12:00 pm - 1:00 pm CDT

On May 4, 2021, the new SEC Marketing Rule (206(4)-1) will become effective with a November 4, 2022 compliance date. The new Marketing Rule represents the first substantive amendments to the Advertising Rule since its adoption in 1961 and includes significant changes to the Cash Solicitation Rule. These amendments will have vast implications for the…

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Chicago Bar Association Futures & Derivatives Law Committee Meeting

April 21 @ 12:15 pm - 1:30 pm CDT

TOPIC: Digital Assets: Recent Developments, Cases, and Regulatory Priorities Speakers: Jim Lundy of Faegre Drinker James Brady of Katten Muchin IL MCLE credit available. To register, click here.

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FREE: Women in Derivatives: Women’s History Month – Friday Speaker Series

April 23 @ 8:00 am - 5:00 pm CDT

7 Weeks – 7 Female Leaders Leaders in the Line Up: Ying Cao of Barclays Carolyn K. Van Den Daelen of Quorsus Lynn Martin of Ice Data Services Sharon Bowen of ICE Kim Jaffe-Prado of RBC Supurna Vedbrat of Blackrock Jeanne Sun of JPM For more information, click here.

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Agecroft Partners and HFA: Gaining the Edge | Global Virtual Cap Intro 2021

April 26 - May 7

The Hedge Fund Association is a proud supporter of Gaining the Edge - Global Virtual Cap Intro 2021 to benefit at-risk youth which seeks to be the largest and highest quality virtual capital introduction event in the alternative investment industry. The first GTE Virtual Cap Intro event this past October had approximately 1,000 people participate,…

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FIA: L&C Virtual 2021: 43rd Annual FIA Law and Compliance Division Conference on the Regulation of Futures, Derivatives and OTC Products

April 27 - April 30

FIA’s virtual Law & Compliance Division Conference (L&C-V) will cover legal and regulatory issues impacting the derivatives industry as well as practical considerations driven by the remote work environment. L&C-V meets the needs of multiple levels of practitioners in the industry, from the new law firm associate to the chief compliance officer. Between live and…

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GAIM Ops Connect NY Edition

April 27

April 27, 2021 and May 25, 2021 This virtual GAIM Ops Connect series will bring together COOs, CCOs, institutional investors, private equity compliance professionals, counsel, CFOs, and Heads of ODD. This is the largest gathering of ops and compliance decision-makers in one place at one time. GAIM Ops NY Edition represents a true reflection of…

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