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Expert Advice
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).
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.
This month, we have our annual feature on military veterans in the asset management industry.