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Expert Advice
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
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).
