Regulatory Roundtable: New Rules & Existing Regulations Impacting Asset Managers

Recorded On: 08/26/2020

By highlighting a variety of regulatory changes impacting asset managers, the program will help firms prepare for new and existing regulations. This panel will feature a combination of fund experts, legal professionals and compliance and regulatory executives.

Program objectives:

Learn what new regulations are coming in the next several months, including the SEC proposed new rule on shareholder reports and annual prospectus delivery

Highlight and simplify recent and upcoming regulations, such as:    

  - Modernizing Fund Reports and Disclosures

  - Closed-end Fund and BDC Rules Impacting Registration, Communications and
Offerings

  - Status of Rule 30e-3 – now, 2021 and in the future

  - Closed-end Funds and BDC – Offerings, Prospectus and Reports to Shareholders

  - Variable Insurance Products – SEC Rule 498A

Hear tips and strategies to navigate these regulations and how to strategize for them.


This program is sponsored by:

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CPE INFORMATION:
Nicsa is pleased to offer this webinar learning activity to attendees who are seeking CPE credits. 1 CPE unit may be available for attendees of this webinar. The webinar requires no advanced preparation, no pre-requisite study and is appropriate for all who have a basic understanding of the investment management industry.

Nicsa is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org.

CPEs Earned: 1
CPE Field of Study: Regulatory Ethics
Program Level: Basic
Delivery Method: Group-Internet Based
Advanced Preparation: None


CANCELLATIONS AND REFUNDS:
Due to this program being offered free of charge, there will be no refunds issued.

Questions or Cancellations: Please contact Jordan DeBettencourt at 508.683.1618.

Frank Maresca (Moderator)

VP, Broadridge

Financial Services and Investment Management Professional with 40 years’ experience in U.S. registered investment companies, asset management and asset servicing industries.

 
Since 2018, Vice President Mutual Fund & Retirement Solutions Product Management
and brings a results driven funds management executive with deep industry experience
driving strategy and product innovation for solutions to the mutual fund and retirement
marketplace.
 
Previously, at AST Fund Solutions, LLC from 2012 through 2017 as an Executive Vice
President creating and heading the fund administration group, as well as overseeing
business development of all services provided to closed-end funds and business
development companies. Prior to that, he had established and headed Ultimus Fund
Solutions, LLC’s New York office during the period March 2009 until February 2012;
with responsibilities over their entire closed-end fund administration business.
 
Nearly 17 years as President and Chief Executive Officer of Bear Stearns Funds
Management Inc. responsible for new business development, client services and
relationship management and held several senior level positions within Bear Stearns
including Senior Managing Director and Treasurer of their mutual fund complex.
 
Previous positions included senior fund finance positions and fund treasurer for fund
complexes and closed-end funds. Mr. Maresca began his professional career in 1980 at
Price Waterhouse.

A graduate of Hofstra University with a B.B.A. degree in Public Accounting and is a
CPA (inactive). Currently, serving on the Fund Administration Committee at Nicsa.
Previously served both as a member of the Closed-end Fund Committee and Accounting
and Treasurer Committees of the Investment Company Institute.

Chelsea Childs

Associate, Ropes & Gray

Chelsea is an associate at Ropes & Gray LLP. Chelsea represents investment management industry clients in a wide variety of regulatory, compliance, and transactional aspects of their businesses. She assists private funds, registered funds and their sponsors with fund structuring and formation, fund  reorganizations, negotiation of service provider agreements, and ongoing operational and compliance matters. Chelsea also has extensive experience advising boards of U.S. registered funds on governance and fiduciary oversight matters. Prior to joining Ropes & Gray in 2019, Chelsea was an associate at another large international law firm where her clients included U.S. registered investment companies, investment advisers, and independent board members.

Venice Monagan

Counsel, Putnam Investments

Venice Monagan, Counsel, works at Putnam Investments in its Legal and Compliance department.  Her current role focuses on mutual fund regulatory matters and general corporate legal matters.  Venice is a member of Putnam’s Diversity Advisory Council and is active in the Women of Putnam group.  Prior to joining Putnam Investments, Venice worked at Ropes & Gray in its Investment Management practice.  Venice obtained a J.D. from Harvard Law School and an A.B. from Princeton University.  She is admitted to the Massachusetts Bar. 

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Webinar
08/26/2020 at 2:00 PM (EDT)   |  60 minutes
08/26/2020 at 2:00 PM (EDT)   |  60 minutes
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Certificate
1.00 CPE Credits credit  |  Certificate available
1.00 CPE Credits credit  |  Certificate available