Upcoming ComplianceCasts™

Investment Adviser and Private Fund Testing

Broadcast Date: Thursday, Nov 29 at 2pm ET

Private fund advisers are subject to a number of regulatory reporting requirements and other compliance obligations. Through recent SEC actions and enforcements, areas of increased scrutiny and risk have been clearly highlighted. This ComplianceCast will go over recent SEC focus items and testing in the following areas:

  • Code of Ethics
  • Advertising and Sales Materials
  • Valuation
  • Portfolio Management & Trading
  • Safeguarding Client Assets
  • Fees and Expenses
  • Business Continuity & Disaster Recovery
  • And More!

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Post-Trade Compliance and Surveillance Systems for Buy-Side Firms

Brian DeDonato covers “Post-Trade Compliance and Surveillance Systems for Buy-Side Firms” in NSCP Currents.

A New View of How Technology Will Change the Emerging Crytpo-Economy

From the top of the world, it’s amazing what you can see. I recently had the opportunity to travel to the United Arab Emirates to speak in Dubai at the 7th Edition of the Alternative Investment Management Summit. While I was there, I took a few moments to ride to the top of the Burj … Continued

The Trouble With Alternative Data

Our Ronan Brennan speaks to Bloomberg on the trouble with alternative data, and why fund flows haven't lived up to the hype.