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Editor's Note
When you combine a global pandemic that restricts travel and a social awakening on the issue of
08.05.20
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Column: Robert Raben, Diverse Asset Managers Initiative

Robert Raben is the executive director of the Diverse Asset Managers Initiative and the founder and president of The Raben Group. More information on DAMI can be found on the organization’s website.

07.01.20
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Exam Findings For Private Funds
By Elizabeth Cope, SEC Compliance Solutions   The SEC issued a risk alert on June 23rd that
07.01.20
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Editor's Note
I’ve talked about it in this space and with many of you for years. There is always a lot of talking
07.01.20
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Editor's Note

The death of George Floyd has awoken the voice inside many of us that has remained silent for too long. The actions of Amy Cooper, head of insurance investment at Franklin Templeton Investments before her firing, are a symptom of the problem at hand and serve as an example of the racism and bias that continues to exist in our country and within our industry.

06.03.20
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Headwinds: 3 Ways Consultant Consolidation Creates Roadblocks for Emerging Managers

Steve Rubenstein, founder of third party marketing firm Arrow Partners, discusses the impact the consolidation of the investment consultant space has had on emerging managers.

03.04.20
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Editor's Note
As journalists, we value transparency. We are advocates for it and we use it to tell stories,
03.04.20
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Ask Sandra: It's a New Year! How Do We Kick-Start Business Development for 2020?

Sandra Powers Murphy, author of The Road to AUM: Driving Assets Under Management through Effective Marketing and Sales, and CEO of Noble Ark Ventures, a business development and management consulting firm, provides the following 6 core elements to make 2020 your best year yet.

01.08.20
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Advertising Rule and the Cash Solicitation Rule
The SEC proposed major changes to the Advertising Rule and the Cash Solicitation Rule on Nov. 4. I
12.04.19
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SEC Proxy Voting Guidance
After years of research, OCIE exam findings and roundtable discussions, the SEC has issued guidance
12.04.19