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.
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.
October 12, 2021
Silver Welcomes Jaclyn Halk as Director
Silver today announced it has expanded with the addition of Jaclyn Halk, as director. The firm continues to steadily expand its regulatory compliance bench due to increased demands from the investment management industry.
August 12, 2021
Europe’s SFDR: Shades of Green Cause Ops Headache
In this article published by FinOps, Silver's Head of ESG Strategy, Trysha Daskam, weighs in with perspectives on what the complicated, upcoming Sustainable Finance Disclosure regulation (SFDR) means for U.S. fund managers.
May 17, 2021
Silver Announces Launch of Investor Due Diligence Preparation Services for Investment Managers
Silver today announced the official launch of Silver Due Diligence Preparation Services. Led by senior investment, operations, marketing and compliance professionals, Silver’s due diligence services help investment managers withstand investor scrutiny by developing institutional quality processes and response standards.
November 10, 2020
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.
June 14, 2019
Silver Regulatory Associates Steadily Expands Bench of Compliance and Regulatory Professionals
Silver Regulatory Associates continues to steadily expand with the addition of Nicholas Nunez as a Director and Travis Burkel as an Associate, both based in New York.