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Expert Advice
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.
Shahrukh Khan is an investment funds lawyer and writer. He advises emerging managers on the formation, management, and operation of private funds. He also advises institutional
investors in connection with their investments into private funds.
It feels as though we have all been waiting eons for EXAMS to release a helpful risk alert for the new Marketing Rule.
The third-party marketing (3PM) industry, much like the broader financial services sector, has undergone significant changes over the past few decades.
Until recently, the challenge for emergÂing asset managers seeking to grow assets among institutional investors and RIAs was developing and executing a two-pronged approach because they are essentially two different market segments with distinct needs and objectives.
This month, our feature story looks at Hispanic investors while we are in the middle of Hispanic Heritage Month.
