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10 Rules for Marketing Alternative Funds

When it comes to managers of alternative assets, it seems there’s a bit of a trust problem. According to a recent CFA Institute survey, for example, trust in hedge funds was 59% while trust in other alternative investment managers was only 60% among institutional investors. Those numbers come in far below institutional investors’ trust in mainstream managers, which … Continued

Upcoming ComplianceCast™: Promoting and Inspiring Ethics and Integrity in a Bottom-Line Workplace

How do you train your staff to be ethical and to promote ethical behavior throughout the organization? How do you reach busy and difficult employees? In this ComplianceCast, we’ll discuss policies that set the proper expectations, effective training methodologies, and the use of continual positive reinforcements designed to keep employees on the right path.

ComplianceCast™: The Compliance Professionals’ Guide to Effective Trade Desk Monitoring

Global regulators continue to enhance their ability to monitor the activities of market participants through a combination of new rules, filing requirements, and upgrades to surveillance technologies. As a result, many market participants, including both buy-and sell-side firms, need to re-assess how they currently monitor the trading desk, and whether new policies and procedures are … Continued