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April 29, 2022

Compliance Tips for Navigating Increased Regulatory Scrutiny

Silver’s Fizza Khan, CEO, and Nicholas Nunez, Managing Director and Head of Regulatory Compliance, published an article in AlphaWeek that provides investment advisers with compliance tips for navigating the increased regulatory scrutiny by the SEC, particularly with regard to recording and retaining all electronic communications across the entire firm.
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April 26, 2022

ADV Inflation? Private Fund SEC Filings Balloon in Size, Scope

Silver’s CEO, Fizza Khan, catches up with Tom Stabile, a senior reporter at FundFire, to discuss the ballooning page counts required of private fund managers under Form ADV, Part 2A. She notes that this trend reflects changing expectations and new requirements from the SEC, which is indicative of the level of scrutiny the SEC is placing on disclosure right now.
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April 4, 2022

Tips for Ensuring Your Books & Records Program is Compliant

Due to increased SEC scrutiny, Silver’s Fizza Khan, CEO, and Nicholas Nunez, Managing Director and Head of Regulatory Compliance, published an article in the National Law Journal about the books and records regulations governing electronic communications, including recent SEC investigations and enforcement actions and record keeping best practices to help firms stay compliant.
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March 29, 2022

Key Learnings from 2022 Form ADV Season

Filling out Form ADV can be a complicated process, which requires a lot of planning, data collection, communication among key stakeholders and time. As the 2022 Form ADV season comes to a close, the Silver compliance team compiled some key takeaways from this year’s filings that might help RIAs better prepare and navigate their way through this complex process in 2023 and beyond.
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January 24, 2022

The DEI Dilemma for Private Fund Managers (Part 1)

One of the biggest challenges for fund managers in 2021 was addressing concerns about diversity, equity and inclusion (DEI), both at the investment level and at the enterprise level. In this first article of a two-part series, Silver’s ESG advisory experts examine how managers are facing pressure from regulators, investors, and employees to improve their DEI efforts.