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Silver Discusses 2023 Compliance Trends on Convergence Podcast

By February 10, 2023No Comments

Silver’s CEO, Fizza Khan, recently joined host George F. Evans on episode 23 of the “In Conversation with Convergence Inc.” podcast to discuss the regulatory compliance trends and challenges that firms are expected to face in 2023, as well as the SEC’s agenda. Some of the key themes covered during the course of the conversation include:

  • RIA outsourcing vetting 3rd party service providers
  • Fund Fee Disclosures
  • Documentation of RIA Compliance Reviews
  • Overview of the SEC’s 2023 agenda
  • Background about Silver and its 2023 priorities for clients

Watch the full podcast episode below.