Compliance Best Practices

Check out this example of an IA agreement

Several states have or hope to pass rules that target ESG investing, including one that proposes to make it a criminal offense to invest funds ...

Covered advice would include recommendations on investment strategies and advice on how rollover proceeds should be invested

A common deficiency seen in SEC exams stems from a private fund adviser not updating its Form ADV, Part 1 answer after the distribution of ...

Among the industries likely to be most affected by AI are financial services, and even compliance

It’s very likely that your firm already uses AI and may not even know it

Eye what your peers felt was our most popular content in February

Traders and a portfolio manager recognized the squeeze they found themselves in and they discussed a possible solution but didn't take it

'All the little things matter,' Stamatoglou says in interview from Private Funds CFO's New York membership forum

This sounds counter-intuitive because the unvarnished truth could steer clients away from the product, but “whatever else you say, tell them all of the bad ...