Free

Form N-PORT Lunch Seminar

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Stone's Throw Restaurant and Bar,

inside Marriott Wardman Park Hotel

2660 Woodley Road Northwest

Washington, DC 20008

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We look forward to meeting you during the upcoming ICI General Membership Meeting at Accudelta booth 513 for more information about our compliance solutions and technologies.

We invite you to join us prior to the start of the conference for a noon lunch at the Marriott Wardman Park Hotel, Stone’s Throw Restaurant and Bar on Wednesday, May 3.


During lunch, we will answer specific questions that your peers are currently asking. Here are examples of the questions we are receiving from clients regarding regulatory compliance and filings:

  • How are firms defining normal and stressed conditions?
  • I don't have all the necessary information for borrowing and lending of securities. What do I do?
  • What market data (e.g., LEIs and reference information for derivatives) do I need to purchase to complete the form?
  • Do I really need LEIs?
  • Some of the questions have a different compliance date. How will that work?
  • How is the SEC using this data?
  • How should firms handle challenges presented by third-party delegated management and sub-advisers?
  • What operating model changes should be anticipated?
  • How should amendments be handled on the N-Port?
  • How can firms leverage their own data analytics in anticipation of N-Port information being used in regulatory programs, including examinations, investigations and enforcement actions?
  • What are best practices involving implementation, guides and procedures, and training regarding modernization requirements?

To assist us in addressing the most pertinent questions, please respond with any you may have. You can submit your Form N-PORT questions on the registration page.

In addition to the Q&A, during lunch we will also briefly introduce you to the Compliance Solutions Strategies RegTech platform created through three leading businesses in the GRC Market: Advise Technologies, Ascendant Compliance Management and MoneyMate Group.

We hope you will join us for this exclusive educational experience.

Seating is limited to 25 so please RSVP by the 24th April.


Where: Stone’s Throw Restaurant and Bar, Washington DC
When: Wednesday, May 3 - Noon ET
Who:

  • Jeannette Turner, Managing Director & General Counsel, Advise Technologies
  • Jacqueline Hallihan, Director & Partner, Ascendant Compliance Management
  • Ronan Brennan, Chief Technology Officer, Accudelta (MoneyMate Group)
  • Avi Nachmany, CSS Advisory Board
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Date and Time

Location

Stone's Throw Restaurant and Bar,

inside Marriott Wardman Park Hotel

2660 Woodley Road Northwest

Washington, DC 20008

View Map

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