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.
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.
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.
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.
May 12, 2021
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 National Law Journal, Silver’s CEO, Fizza Khan, outlines four areas in which CCOs should pay careful attention to lower their risk of potential liability.