Columns
Expert Advice
“Technology” has felt like a buzzword for a long time now. As more of the financial industry continues to move online, the processes to set up logins, IDs and delegations can feel more complicated.
Ours is a world rapidly turning to outsourced over in-house labor. This is not a new trend as big corporations have been outsourcing work for years. However, it has affected other markets, and the finance industry is not an exception.
This month’s Q&A features institutional investor Caroline Greer, a longstanding industry practitioner and champion of diverse and emerging managers.
As we embark on a new year, we wanted to provide a list of basic compliance “must-knows.”
Q&A with Cameron Rogers, partner at the $2.3 billion Angeles Wealth Management.
The SEC issued a Risk Alert on Dec. 16 outlining observations from examinations focused on advisers’ compliance with the Marketing Rule. These findings align with what we continue to see during examinations – the Marketing Rule remains a consistent area of regulatory focus.
ADV season comes around each year like clockwork, often bringing the same kinds of questions and potential headaches. Every Registered Investment Adviser (RIA) is required to file their Annual ADV amendment within 90 days of their fiscal year end.
How will you make yourself more compelling against much of your competition? This column from Bruce Frumerman posits three recommendations.
Every year, the National Society of Compliance Professionals hosts a two-and-a-half-day conference providing a wealth of educational and networking opportunities.
Observations for money management firms relating to the importance of marketing the beyond-the-numbers intellectual acumen of the portfolio manager when selling investment products to institutional investors has resurfaced in the form of a new survey report of that very group of investors and their investment consultants.
Our annual feature on the diversity pipeline into the finance industry.
