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October 2019

NRS Fall 2019 Compliance Conference

October 15 - October 18
Hyatt Regency, Huntington Beach, 21500 Pacific Coast Highway
Huntington Beach, CA United States

Join NRS at our Fall 2019 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. Leading industry subject matter experts possess will share insights, perspectives and practical advice relating to rules and regulations for maintaining effective…

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Cohen Client Conference for Investment Industry Services

October 16 - October 18
Westin Michigan Avenue, 909 N. Michigan Ave.
Chicago, IL United States
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Join us as Cohen & Company’s Investment Industry Services Division holds the eighth annual Cohen Client Conference. Focused on helping you innovate and accelerate in a complex industry, we want to help you stay ahead of the curve and push your company to do more, be better and always stay compliant. This year attendees will…

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The Chicago Bar Association: Futures & Derivatives Law Committee Meeting

October 16 @ 12:00 pm - 1:00 pm CDT
Chicago Bar Association, 321 S. Plymouth Court
Chicago, IL United States
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Join the Committee for a discussion on JAC Alerts and Related CFTC Guidance.  The speakers will be: Jason Silverstein of SIFMA AMG and Kevin Foley of Katten’s Financial Markets and Funds Group.  Moderated by: Sarah Riddell of Morgan Lewis. IL MCLE credit will be available.  For more information, click here.

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Chicago-Kent: 11th Annual Conference on Futures and Derivatives

October 17 @ 8:00 am - 5:45 pm CDT
Chicago-Kent College of Law, 565 West Adams Street
Chicago, IL 60661 United States
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We are experiencing a time of rapid technological change in the futures and derivatives industry. Come learn what you need to know and how to stay on top of these changes. Also get regulatory updates and learn recent trends in enforcement all while networking with peers, gaining access to leading professionals and earning CLE, CPE,…

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FREE: Building Sustainable Value for Impact: A Wealth Management Conference

October 17 @ 11:30 am - 5:00 pm CDT
DePaul University, 1 E. Jackson Blvd., Room 8005
Chicago, IL United States
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Climate and water are central to the future value of investment portfolios. We are at a watershed moment in history; how we approach climate change and its impacts will determine the next chapter of life on earth. The Building Sustainable Value for Impact Conference will explore how wealth managers benefit by helping to address society’s…

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IAA Webinar: SEC Proxy Guidance for Investment Advisers

October 17 @ 1:00 pm - 2:00 pm CDT

The SEC’s recently adopted guidance regarding the proxy voting responsibilities of investment advisers - particularly when they are using the services of a proxy advisory firm - has raised a number of concerns. One is that costs for advisers that vote proxies will increase. Another is that the SEC’s move from principles-based to more prescriptive…

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Morgan Lewis and Women in Listed Derivatives (WILD): Cyberattacks Not if, But When

October 17 @ 5:00 pm - 7:00 pm CDT
Morgan Lewis, Iridium Center, 77 W. Wacker Dr., 1st Flr. Main Lobby
Chicago, IL United States
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Authorities from CME Group, Wintrust, and Morgan Lewis will discuss how to respond to a cyberattack and prevent the next attack from occurring. Gain insight into cybersecurity best practices, including those with a focus on the financial services industry, and regulatory compliance considerations. Hosts of this program will be: Sarah Riddell and Kristin Hadgis of…

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ACG Chicago: Sunrise Session Presented by CLA: Cloudy with a Chance of Tariffs and a Recession: 2020 Forecast

October 24 @ 8:00 am - 10:00 am CDT
ACG Chicago, 200 W. Monroe St., 6th Flr. Conference Center
Chicago, IL United States
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The outlook for 2020 is especially foggy with talk of an impending recession and all the churn around tariffs. Several signals show an increase in the likelihood of a slowdown, yet risk assets surged in the first half of this year... Meanwhile, surcharges and suppliers’ increasing costs caused by tariffs are expected to drive the…

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100 Women in Finance: EDUCATION SESSION #1044: Current and Future Landscape in DC

October 28 @ 4:30 pm - 6:30 pm CDT
Ernst & Young, 155 North Wacker Drive
Chicago, IL United States
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The financial services industry is always alert to discussions in Washington, D.C. What are the top legislative issues likely to affect your firm? How might regulatory changes affect marketing and reporting to clients? Are there any changes in compliance looming on the horizon? Gain insights on the current political landscape and what’s next for Congress…

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Women in Listed Derivatives (WILD) Panel at FIA Expo Chicago: Women On Boards

October 30 @ 3:30 pm - 4:30 pm CDT
FIA Expo Innovator’s Pavilion at Hilton Chicago Hotel, 720 S. Michigan Ave.
Chicago, IL United States
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While studies have shown that diversity on Boards leads to better decision making and improved corporate performance, as of 2018, women made up only roughly 22% of Fortune 500 Boards and only 15% of the board seats at the top 200 companies in the S&P 500 were held by racial minorities. Though this represents an…

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