Dear CCO: The SEC Has Its Eyes on You
The list of responsibilities and critical function of a chief compliance officer (“CCO”) of an investment adviser are always evolving. In this article featured in the April 2021 issue of
May 12, 2021
The list of responsibilities and critical function of a chief compliance officer (“CCO”) of an investment adviser are always evolving. In this article featured in the April 2021 issue of
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
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.
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
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.
Silver’s CEO, Fizza Khan, joins Tom Fox on the Compliance Podcast Network to discuss compliance issues investment management firms are facing amid the coronavirus health crisis.
Silver’s CEO, Fizza Khan, moderated a timely discussion on how financial services firms can safeguard against cybersecurity threats, given the world’s workforce has gone remote due to COVID-19.
Silver’s CEO, Fizza Khan, discusses the impact of coronavirus on her business, and on the compliance function generally, on this episode of the Operational Leaders podcast with host Terrance J.
In this feature Q&A published by AlphaWeek, Silver’s CEO, Fizza Khan, shares her concerns and recommendations on the steps investment managers should be taking to ensure their compliance houses are
Silver’s CEO, Fizza Khan, joined counsel from Crowell & Moring for a roundtable discussion on the hot button issues outlined in the SEC’s 2020 Exam Priorities. A summary of the