Tag: Takeaways
“The Workplace Must Become a Magnet” – Three Trends in the Future of Work
Three industry experts explore the post-pandemic challenges of sustaining culture, performance, and employee and client satisfaction amidst a sea of expectations and needs.
October 25, 2021
Tags: Columns, COVID-19, Human Resources, Takeaways
Five Tips for Staying Ahead of Changing Cyber, Privacy Rules
Five Tips for Staying Ahead of Changing Cyber, Privacy Rules April 7, 2021 “There is a tremendous amount of activity,” stressed Kirk Nahra of WilmerHale. “We’ve seen almost an...
April 07, 2021
Tags: Privacy, Compliance Conference, Cybersecurity, Takeaways
Seven Tips for Preparing for an SEC Exam
Compliance Conference Takeaways While the pandemic has slowed down much of life, it has had little impact on one of the bigger challenges that an investment advisory compliance effort will...
March 30, 2021
Tags: Columns, Compliance Conference, Examinations, Form CRS, Takeaways
Form CRS, ESG Disclosure are Priorities for SEC Exams, Enforcement
Form CRS, ESG Disclosure are Priorities for SEC Exams, Enforcement March 9, 2021 Form CRS filing and ESG disclosure are among the top examination priorities, noted Peter Driscoll, Director of...
March 09, 2021
Tags: Compliance Conference, ESG, Form CRS, Libor, Peter Driscoll, Private Funds, SEC Enforcement, SEC Examinations, Share Class Disclosure, Takeaways
Europe Not a Model for ESG Regulation in U.S., Says SEC’s Peirce
Europe Not a Model for ESG Regulation in U.S., Says SEC’s Peirce Commissioner Questions Agency’s Recent ESG, Climate Initiatives March 9, 2021 The European “merit regulation” on ESG is not...
March 09, 2021
Tags: Compliance Conference, ESG, Form CRS, Hester Peirce, Takeaways
Getting Proactive on ESG: Five Tips for Advisers
Getting Proactive on ESG: Five Tips for Advisers January 5, 2021 Environmental, social, and governance: three factors that have become the focus of attention in the investment world. But where...
January 05, 2021
Tags: Active Managers Council , Columns, ESG, Takeaways
Accurately Measuring the Success Rate of Active Funds
Accurately Measuring the Success Rate of Active Funds January 26, 2021 Any assessment of the value of active management starts with a measurement of its success in generating returns...
January 26, 2021
Tags: Active Management, Active Managers Council , Columns, Takeaways
IT Pros Discuss Top Five Tech Priorities
IT Pros Discuss Top Five Tech Priorities December 9, 2020 Investment technology is an increasingly important part of both the value proposition and the cost equation for an asset management...
December 09, 2020
Tags: Business Operations, Columns, Leadership Conference, Takeaways, Technology
Managing an Advisory Business Through the Pandemic
Managing an Advisory Bsiness Throgh the Pandemic November 11, 2020 “‘Unexpected’ is the word that comes to mind,” is how one executive describes it. “A very different experience than downturns...
November 11, 2020
Tags: Business Operations, Columns, Leadership Conference, Takeaways
What’s Trending at the SEC April 17, 2020 The SEC speaks, and CCOs listen. Changes in the direction of regulation have an enormous impact on a compliance effort, so investment...
April 17, 2020
Tags: OCIE, Allison Herren Lee, Columns, Compliance Conference, Dalia Blass, Peter Driscoll, Rick Fleming, SEC Enforcement, Steven Peikin, Takeaways
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