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Ascendant Senior Consultant Melanie Mendoza has over 30 years of investment compliance industry experience, focused on investment advisers, registered investment companies and private investment funds. That experience came to great use when Wolters Kluwer asked her to cover the top topic of due diligence for Practical Compliance & Risk Management For the Securities Industry, a journal written by the securities industry’s leading experts.
Her article, published in the March/April 2018 edition, covers both pre- and post-hire due diligence of advisers and sub-advisers, and details the key resources necessary for strong assessment.
The article can be read by clicking here.
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