Columns
Expert Advice
In 2024, the SEC adopted amendments to Regulation S-P. This is the rule that requires investment advisors to have written safeguards in place to protect client information and provide those clients with a written privacy notice.
Column By Meghan Sundquist, Compliance Associate, SEC Compliance Solutions LLC
By Bruce Frumerman, CEO, Frumerman & Nemeth Inc.
For smaller firms, the real challenge isn’t performance. It’s getting noticed. Allocators already have a long list of viable candidates. Why should they make room for one more?
Asset management firms seeking growth will need to have an “AI strategy reckoning” at some point. And sooner is much better than later.
Becoming a skillful educator benefits not only your firm’s employees, but it also improves your understanding of the material as well as your communication skills.
Right now, it’s the Wild West for AI strategic development. And I think that’s why in large part many asset management firms are a bit on edge.
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.
Our annual feature on the diversity pipeline into the finance industry.
