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Guide To 2021 SEC Exam Priorities
Silver reviews the most important areas of focus from the SEC’s 2021 Exam Priorities, including ESG and climate-related risks, compliance risks and conflicts of interest for investment advisers, and a continued focus on digital assets.
Due Diligence Case Study
Due diligence excerpt of text
How EU Climate Regs May Affect US Private Fund Managers
Private fund managers are under increased pressure to consider and report on the climate risks in their portfolios. In this article published by Law360, Silver’s Head of ESG Strategy, Trysha Daskam, provides practical steps for private fund managers to assess and mitigate climate risks.
21 Compliance Considerations for 2021
As workforces adapted to going remote, the OCIE increased attention on several key areas for investment managers. Silver outlines 21 things for investment management compliance teams to consider in 2021.
Review & Outlook:
ESG Regulatory Landscape for Private Funds
In this Review & Outlook piece, Silver’s Head of ESG Strategy, Trysha Daskam, outlines four important ESG regulatory themes for private funds to pay close attention to throughout 2021.
Private Fund 2020 Compliance Playbook Webinar Series
In this three-part webinar series featuring regulatory compliance and investigative experts, Silver’s CEO, Fizza Khan, moderates discussions interpreting the OCIE’s most recent Risk Alerts and highlighting the top compliance concerns for private fund managers.
U.K. Takes Lead on Mandating Climate Change Disclosure
In this article published by Pensions & Investments, Silver’s Head of ESG Strategy, Trysha Daskam, comments in response to U.K. regulators announcing climate change disclosure requirements.
ESG Regulatory and Compliance Outlook
Silver’s Head of ESG Strategy, Trysha Daskam, discusses the ESG compliance and regulatory landscape for private funds with the host of the Frank Talk podcast, Frank Travers.
Proactive Compliance Is the Best Defense Against SEC Enforcement
In this article published by Bloomberg Law, Silver’s CEO, Fizza Khan, offers several proactive steps for investment advisers to prepare for an SEC exam and ensure proper compliance.