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Expert Advice
Right now, it’s the Wild West for AI strategic development. And I think that’s why in large part many asset management firms are a bit on edge.
The daily drumbeat of news reminds us that the transformative power of AI is not something to be ignored.
SEC exams are an inevitable component of a Registered Investment Adviser’s (“RIA”) existence, and we have found that CCOs can reduce the stress associated with a potential exam if they know what to expect.
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
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