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
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
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 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.
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.
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, 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