Please join the TXWSW Dallas and Fort Worth chapters for an educational event focusing on the upcoming US regulatory changes proposed by the SEC, trends in global regulation, and the evolving world of shareholder disclosures. In the spirit of sharing knowledge throughout the compliance community, regulatory experts from FundApps will share insights on how the proposed changes are expected to play out, as well as how compliance professionals can plan ahead to ensure their firms are well-positioned to meet these new challenging requirements – including short position reporting, disclosure of certain cash settled derivatives, and tighter submission deadlines.
Both men and women are invited to attend this informative presentation!
• Section 13 – D, G and F
• US Short Selling Regime
• Rule 10B-1
• Form PF
• Implications for Investment Managers
Following the discussion, attendees will enjoy drinks and hors d’oeuvres while networking with fellow accounting, finance and compliance professionals from the DFW financial community.
When: Monday, September 19, 2022
4:00 pm – 7:30 pm CST
The Union Dallas
2300 North Field Street, Eighth Floor
Dallas, TX 75201
Cost: $20 for Members
$35 for Non-Members and Guests
Registration cost includes access to the CPD*-accredited seminar, followed by a networking happy hour.
Self-parking is conveniently available in the building. As co-sponsor, Weaver will provide parking validation vouchers.
All event proceeds support the Young Women’s Preparatory Network (YWPN).
FundApps, Lead Solutions Engineer
Ebbe Filt advises the world’s largest asset managers, banks and most reputable hedge funds on regulatory interpretation and compliance processes. Ebbe has worked across different areas within FundApps, from Regulatory Analysis to Client Services and now supports the Business Development team using his in-depth knowledge of the FundApps platform, regulatory compliance and challenges faced by compliance professionals. Ebbe also founded the FundApps Academy, a CPD accredited course designed to educate and improve awareness and knowledge for compliance professionals involved in the Shareholding Disclosure space.
Partner at Optima Partners
Adam Reback is a Partner at Optima Partners, a leading global regulatory compliance advisory firm. Adam focuses on supporting the regulatory and compliance needs of Hedge Funds, Private Equity Funds, Registered Investment Advisers, Broker- Dealers, Independent Research Providers, and other global financial institutions. Adam is based in New York City. Adam has 25 years of investment management industry experience, including 18 years as an in-house Chief Compliance Officer.
Adam is a regular contributor to various investment industry periodicals and frequently speaks at numerous industry events and conferences on a wide variety of topics, including insider trading, trade desk oversight, data integrity/big data compliance, third-party vendor due diligence, CCO liability, and managing regulatory examinations and investigations. In 2016, Adam was invited by the SEC to speak at their Annual National CCO Outreach program.
* Continuing Professional Development is a commitment to ongoing lifetime learning. Upon completion of the seminar, attendees will be presented with a certificate which they can submit to their relevant professional organization requiring continuing education.