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August 2020

Washington DC Compliance Roundtable: SEC Rule 17h: Risk Assessment and Recordkeeping Requirements Update for Broker Dealers

August 20 @ 1:00 pm - 2:00 pm CDT

This webinar will provide an interactive overview of the SEC Risk Assessment and Recordkeeping Requirements under Rule 17(h).  The webinar will also share practical implementation advice, including the most recent changes to the Rule exempting certain broker-dealers from Rule 17(h). Our panelists are Marina Baranovsky of Scitus Consulting, LLC and Nicole Kalajian of Stradley Ronon.…

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AlphaWeek: Harnessing Your Investment Opinions As A Key To Marketing Your Strategy To Investors

August 26 @ 12:00 pm CDT

Welcome to the fourth of a series of AlphaWeek webinars that will offer insights and tips to prepare money management firms for improving their abilities to out-market competitors and attract assets from sophisticated investors in the coming post-pandemic, recessionary world. For this series of asset raising webinars AlphaWeek has partnered with Bruce Frumerman, CEO of…

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September 2020

General Counsel Conference 2020: Virtual Experience

September 15 - September 16

Network with hundreds of General Counsel and Senior Legal Leaders from your home or office! General Counsel Conference is the premier forum for General Counsel to learn, network and evolve in their roles. With a focus on the in-house counsel’s perspective, sessions will tackle topics covering law department operations & efficiency, and the evolving role…

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SIFMA: LIBOR – Preparing for Alternative Reference Rates

September 16 @ 12:00 pm - 1:00 pm CDT

Join SIFMA for the third webinar in the Ops Series. The transition to alternative reference rates may come as soon as the end of 2021. Firms need to be able to adapt to instruments using new rates, such as SOFR, implement fallbacks, and review and execute new agreements. This webinar will discuss how ops professionals…

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FREE: LabCFTC Fintech-Focused Virtual Event Series: Empower Innovation 2020

September 24

The Commodity Futures Trading Commission today announced that LabCFTC will present Empower Innovation 2020, a series of interactive virtual events throughout the fall. The three-part series will facilitate a dialogue among innovators, regulators, market participants, and the public around cutting-edge fintech innovation. In light of the COVID-19 (coronavirus) pandemic, the Empower Innovation 2020 series will…

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Virtual: CTAExpo/Emerging Manager Forum Chicago 2020

September 29 - October 1

This conference is designed to give traders the opportunity to present their programs in a cost effective one on one setting, and for capital sources to quickly learn about the industry’s new strategies and new traders in an organized format. CTAExpo has retained the service of a professional virtual events company to ensure all attendees…

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October 2020

2020 NSCP National Conference: Non-Traditional Alternative Investments (Advanced)

October 21 @ 10:45 am - 12:00 pm CDT

Join speakers Nicole Kalajian of Stradley Ronon and Deborah Lamb of McKinley Capital Management to explore compliance practices for firms that are looking beyond typical common stock and U.S. government securities investments for better portfolio return opportunities. These may include hedge funds, private equity, financial derivatives, REITS, cryptocurrency, foreign currency, opportunity zone funds, high risk…

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