Here are five key takeaways for private fund managers to keep in mind as they head into Annual Reviews and work to assess their compliance policies and procedures; execution of their processes; and test the strength of their compliance controls to ensure that they remain out of the crosshairs of regulators.
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.
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.
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.
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.
February 22, 2022
The DEI Dilemma for Private Fund Managers (Part 2)
Fund managers face growing pressure from investors and employees to improve their approach to diversity, equity and inclusion (DEI). In Part 2 of our DEI series, Silver’s ESG experts examine how managers can respond to this pressure by taking a DEI-oriented approach to talent management and recruitment.
February 9, 2022
The ESG Compliance Podcast – Unfolding ESG for Private Investments
Silver’s Head of ESG Strategy, Trysha Daskam, appears on The ESG Compliance Podcast - Unfolding ESG for Private Investments, with host Tom Fox, to break down the fundamentals, trends, and projections of the evolving ESG landscape through the lens of private fund managers.
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.
January 14, 2022
Top 10 Compliance Concerns for Investment Managers in 2022
In this Review & Outlook piece, Silver’s Regulatory Compliance experts look back at over the past year and share their key takeaways and insights to help compliance teams in the investment management industry plan for the year ahead.
January 7, 2022
The Evolving ESG Regulatory Landscape: Three Key Areas of Focus for Private Fund Managers in 2022
Asset managers faced major regulatory challenges in 2021, especially related to ESG. In this Review & Outlook piece, Silver’s ESG regulatory experts look back at these changes in more detail and share their key takeaways.
November 22, 2021
InvestmentNews Her Success Matters Podcast
Silver’s Founder and CEO, Fizza Khan, joins Christine Shaw, CEO of InvestmentNews, on the podcast Her Success Matters. The episode takes listeners through Fizza's journey to launching Silver and approach to fostering diversity in the financial services industry.
July 12, 2021
The ESG Report with Tom Fox: Episode 1
The universe of ESG-related investment risks is broad. In this launch episode of The ESG Report with Tom Fox, Silver’s Head of ESG Strategy, Trysha Daskam, discusses what qualifies as an ESG risk within an investment portfolio, explores recent regulatory developments, the G7 and climate risk.
