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Compliance Best Practices
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 ...
All advisers, even exempt reporting advisers, will be subject to the preferential treatment rule
'We want this to be something where the industry can... come up with solutions...'
'Our primary goal is to provide relief'
A peer shares an example of a gifts and entertainment compliance policy and procedure
This sample log comes courtesy of Lisa Marsden, president of Coulter Strategic Services in Coral Springs, Fla.
Much talk is heard about the need for private fund advisers to report their beneficial owners under new FinCEN rules. Despite new FAQs, questions remain ...
Annually quiz staff on where they’re getting gifts from, and use the occasion to remind them they do need to report them to compliance