Silver’s CEO, Fizza Khan, and Host, Tom Fox, discuss the reasons behind Silver’s launch, offer advice for investment managers to meet regulatory obligations, provide practical tips for SEC exams and delve into the complicated world of cryptocurrency. Click play to listen to the episode.
From Paper to Practice: What the SEC’s Reg S-P Amendments Actually Demand of Investment Advisers
The SEC’s latest changes to Regulation S-P mark a clear shift away from policy-driven compliance toward operational accountability.