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October 2020

National Regulatory Services Fall Compliance Conference

October 26 - October 29

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 panels on Compliance Considerations Private Fund Valuation and Distribution (IA) (Intermediate) on…

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100 Women in Finance: Vote for ESG with Your Investment Dollars – The Power of Direct Indexing

October 29 @ 6:00 pm - 7:00 pm CDT

By tapping technology and fractional share ownership, direct indexing enables customization at scale. Investors are able to tailor portfolios to meet their clients’ ESG objectives. When a high-profile group like the Sierra Club Foundation adopts direct indexing to further its mission, are others more likely to follow? Learn more from Aperio and OpenInvest about the…

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Ignite Exchange Webcast: Tech Innovation In the Middle of a Pandemic for Asset Management Firms

October 30 @ 10:30 am - 11:15 am CDT

Asset management firms have long worked to harness advances in technology to transform their businesses.  But the coronavirus pandemic has forced firms to shift their innovation work from in-person collaboration to video conferences and home-office development. Panelists Hans Brown of BNY Mellon and Wendy Harrington of Nuveen will share how they have advanced technology innovation,…

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November 2020

SEC Open Meeting To Consider Amendments to 1933 Act Exemptions

November 2 @ 9:00 am - 10:30 am CST

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…

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ICI: 2020 Virtual Closed-End Fund Conference

November 4 - November 5

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,…

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100 Women in Finance Webinar: Engaging with Family Offices: A Conversation with John Studzinski CBE, Vice Chairman of PIMCO

November 5 @ 9:30 am - 10:30 am CST

Money talks. So do family dynamics. When clients have significant financial and business assets, the interplay of these two factors may create complex situations for advisors. What are the essential skills to work with family offices and build longstanding and trusted relationships? Hear the guiding principles and values that John Studzinski CBE, Vice Chairman of…

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Hedge Fund Association Webinar: LIBOR Transition

November 5 @ 11:00 am - 12:00 pm CST

LIBOR, the globally accepted key benchmark interest rate, is set to be phased out by the end of 2021. Please join us for this important HFA Webinar and learn how market participants can and should prepare for this major change. Speakers will provide new insights and answers to these key questions: What project approaches are…

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100 Women in Finance: 2020 Global FundWomen Week

November 9 - November 13

A virtual conference for female fund managers to connect with qualified institutional investors and investment consultants committed to placing capital with women-led investment teams. The event is an expression of 100WF’s guiding Vision for 30x40, in which women will perform 30% of investment team and finance industry executive roles by 2040, globally. The week-long virtual…

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ACG Fall Summit

November 10 - November 11

Join us for hyper-relevant, curated programming that centers on strategic acquirers, family offices and PE-backed executives, and all those in the middle-market dealmaking community who work closely with these coveted audiences.  Don't fall behind. Cultivate connections while enjoying tailored programming, expert speakers and structured networking opportunities - both securely and virtually. The event will be…

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LabCFTC Empower Innovation 2020 Event: The Future of Digital Finance

November 17 @ 8:00 am - 9:00 am CST

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…

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