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.
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.
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.