WEBINARS

Impacts of the SEC’s Updates to the Advertising and Cash Solicitation Rules

The new Marketing Rule represents a significant change to how investment advisers can market themselves and their products, including how advisers to private funds such as private equity, venture capital and hedge funds can present their performance information.

CFTC & NFA Regulation: Critical 2020 Changes

Recently, the CFTC adopted critical changes to its position limits rules and the NFA revised the annual questionnaire that all NFA members must complete. Join Titan and Morgan Lewis as we examine these futures market regulatory changes and how to successfully stay in compliance.

Pandemic Regulatory Exams & Cybersecurity Protocols

The SEC, NFA, and FINRA all have issued new guidance on cybersecurity since the pandemic began. Currently, examinations by the SEC, FINRA, and NFA focus on cybersecurity and BCP topics. Join us and Agio on meeting these requirements and managing your examinations.

Exchangify

Financial markets and regulations are in a constant state of evolution and some products naturally move to become "exchangified". In this webinar, Julie Dixon (TITAN) and Travis Schwab (EVENTUS) examine the current state of markets and discuss best practices for compliance.

Image by Alex Kotliarskyi

Market Surveillance and Compliance: Post COVID-19

Hear from Eventus Systems' CEO, Travis Schwab, and Titan's CEO, Julie Dixon, as they discuss trends in market surveillance and compliance for a highly volatile, post COVID-19 world.

Image by Christopher Gower

The Cybersecurity Outlook 2020

Hear from Drawbridge's Anthony Patti and Titan's CEO, Julie Dixon, on the SEC and CFTC’s most recent cybersecurity statements, trends and enforcement cases.

CONTACT

TITAN REGULATION & ADVISORY

OFFICE LOCATIONS

CHICAGO

65 E. WACKER STE 610, CHICAGO,IL 60601

Click Here to Find Us

Email: caitlin.clancy@titanregulation.com
Tel:  + 312-724-9036

For any general inquiries, please fill in the following contact form:

Connect with Us:

LinkedIn

Twitter

Instagram

© 2021 by Titan Regulation & Advisory