Episode 56: Proxy Voting for Investment Advisers
On Episode 56 , we take a look at the SEC’s release on proxy voting for investment advisers.
On Episode 56 , we take a look at the SEC’s release on proxy voting for investment advisers.
With another year winding down, compliance personnel needs to begin evaluating the status of compliance projects and schedule any remaining tasks to ensure completion. Consideration of any regulatory changes, guidance, and risk alerts issued during the year, emerging best practices … Read More
On episode 52, we talk about the SEC’s issued interpretive guidance on an adviser’s standard of conduct, as mandated under the Investment Advisers Act of 1940.
On episode 51, we discuss the Filing of Form 13F.
Every registered investment adviser has a fiduciary duty to seek best execution when placing transactions for clients. In addition to seeking best execution, the Securities and Exchange Commission (“SEC”) has issued a variety of guidance stating that advisory firms must … Read More
On this week’s episode we discuss Market Volatility and he’s also providing some key considerations for CCOs regarding shifts in market behavior.
[UPDATE] On June 21st, 2018: The U.S. Court of Appeals for the Fifth Circuit issued a mandate today that vacated the DOL Fiduciary Rule. With over 20% of the U.S. population projected to be over the age of 65 by … Read More
This week we discuss the highlights of the 2018 Investment Adviser Compliance Conference, with the hot topics on everyone’s mind as well as the most popular sessions of the conference.
Regardless of size, investment advisers need to be aware of some common, and avoidable, mistakes that are often made when maintaining compliance programs. Some of these mistakes are at a high level, things that senior management should be aware of. … Read More
Risk Management Update September 2017 In an ongoing effort to diversify into non-market correlated investments, more and more advisory firms are offering strategies that include alternative investments. This term is broadly used in the industry and encompasses several types of … Read More