Columns
Expert Advice
In a 2020 EMM article, we explored how consultant consolidation was creating significant challenges for emerging managers. Today, we revisit this issue to assess what has changed and offer updated strategies to navigate this evolving landscape.
By Elizabeth Cope, SEC Compliance Solutions
By Sam Carralejo, Compliance Manager, SEC Compliance Solutions
By Stephanie Henwood-Darts, COO & Managing Partner, Phoenix Fund Services
By Sam Carralejo, Compliance Manager, SEC Compliance Solutions
By Bruce Frumerman, ceo of Frumerman & Nemeth Inc.
By Josette Thompson, managing director and head of DEI strategies, Prosek Partners
The T+1 requirement had a compliance date of May 28th 2024 which in turn impacted RIAs directly with amendments to Rule 204-2 of the Advisers Act (Books and Records Rule).
Par for the course with any SEC exam will be a request for the adviser’s policies and procedures that were in place during the examination period.
You may have wondered which topics are frequently brought up during SEC Investment Adviser Examinations and where advisers are receiving deficiencies.
