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Silver helps clients master investor due diligence

With most investors conducting formal due diligence pre-investment, fundraising can be daunting.  Unprepared investment firms struggle to answer pointed questions and meet the monopolizing demands of investor due diligence.

Since a single red flag can drive assets elsewhere, successful fundraisers prepare by looking inward to root out potential concerns before prospective investors do. They also dedicate resources to instill investor confidence with thorough, timely responses to each particular request. Silver helps investment firms achieve fundraising success by gaining investor trust.

Silver takes on investor due diligence as if it were a regulator exam. Our investment, operations and compliance professionals leverage proven regulator exam preparation techniques to ready clients to withstand investor scrutiny. Additionally, Silver satisfies the episodic, yet critical needs of managing investor due diligence by providing experienced resources to respond to investor inquiry.

Due Diligence Response 

Provide standard Due Diligence Questionnaires (DDQs) and resources to respond to custom DDQs

Mock Due Diligence Review

Simulate rigorous institutional investor due diligence

Due Diligence Response

Provide standard Due Diligence Questionnaires (DDQs) and resources to respond to custom DDQs

  • Comprehensive DDQ that reflects a firm’s processes and documents, meets investor transparency demands and withstands regulatory scrutiny
  • Timely responses to custom investor DDQs
  • Proactive updating of standard DDQ

Mock Due Diligence Review

Simulate rigorous institutional investor due diligence

  • Assess firm against investor expectations to identify and obviate red flags
  • “Hot seat” key personnel so they are confident, consistent and on point during investor diligence interviews
  • Prepare firm service providers for investor inquiries
  • Suggest remedies ranging from crisper investment performance explanations to operational changes

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March 21, 2022

Silver Joins AIMA Panel to Discuss the Investor Due Diligence Process

Lisa Klar, the leader of Silver’s Due Diligence Preparation Services business line, is participating in an AIMA panel discussion on March 25, 2022. The webinar is titled, “How to Prepare for Investor Due Diligence,” and will guide participants through what to do, and what not to do, during the due diligence process.
  • Lisa Klar
    Lisa Klar
Contact us to learn more about Silver and our Due Diligence Preparation Services

917-626-1912
lklar@silverreg.com

Lisa Klar

917-626-1912
lklar@silverreg.com
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Highly experienced in investment firm complexities, Lisa Klar leads Silver’s Due Diligence Preparation Services while also working closely with Silver’s leadership team to develop, launch and expand new and existing service offerings. Lisa was integral in developing the Due Diligence Preparation Services, which are designed to help Silver’s clients withstand the scrutiny and monopolizing demands of investor due diligence.

Over the course of her 30+ year career, Lisa Klar has held senior positions in product, marketing, distribution, compliance and legal functions across the spectrum of financial services firms. Lisa also practiced investment management law at prestigious firms advising sponsors of hedge, private equity and mutual funds and separate account managers.

At Simpson Thacher & Bartlett LLP, Lisa was Senior Counsel in the Corporate Department and the firm’s expert in advising alternative and traditional investment managers on compliance matters under the Advisers Act and exemptions under the Securities Act and the Investment Company Act. She also played a key role in structuring investment manager acquisitions and mergers, including performing certain aspects of target due diligence, internal investigations and guided clients through SEC examinations, investigations and enforcement actions and handling the intricacies of their outcomes. Prior, Lisa was the General Counsel, Chief Compliance Officer and Director of Product Structuring of Cadogan Management, LLC, a fund of hedge funds manager.

As the Director of Compliance at Lehman Brothers’ Investment Management Division Lisa oversaw the compliance function for the private equity, hedge fund, mutual fund, separate account and wealth management businesses of Neuberger Berman and the legacy Lehman businesses. At Lehman at the time of the 2008 bankruptcy, she was part of the team representing the Division during private equity due diligence sessions. Also at Lehman, Lisa was a senior member of a team hired to implement a new strategy to capture greater prime brokerage share through consulting to hedge fund clients.

Earlier, Lisa led product management, development and marketing efforts for the Alternative Investments units of Citigroup’s Smith Barney division and the Managed Account businesses at Prudential’s Investment Management arm. In these roles, she was the gatekeeper and relationship manager to hundreds of mutual fund, traditional separate account and alternative managers, led initiatives to enter new distribution channels and/or asset classes, performed certain aspects of manager due diligence and was responsible for partnering with the sales force and continual program improvement. Prior to her business role at Prudential, Lisa led the Investment Advisory unit of its Securities’ Law Department. Lisa began her career as an associate in the investment fund practice of Seward & Kissel.

Lisa holds a Bachelor of Science from Cornell University and earned a Juris Doctor from the University of Pennsylvania.