5 SEC Priorities for RIAs to Consider During Annual Reviews
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.
Silver Talks ESG at 10th Annual Private Equity Forum
Silver’s Managing Director & Head of ESG Strategy, Trysha Daskam, is speaking on the panel, “ESG: Navigating a Growing Expectation,” at the 10th Annual Private Equity Forum on May 4, 2022. Panelists will discuss the drivers behind the “sustainable capitalism” trend and how GPs are responding to LPs ESG agendas in private equity.
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.
ADV Inflation? Private Fund SEC Filings Balloon in Size, Scope
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.
Tips for Ensuring Your Books & Records Program is Compliant
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.
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.
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.
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.
The ESG Compliance Podcast – Unfolding ESG for Private Investments
Silver’s Head of ESG Strategy, Trysha Daskam, appears on The ESG Compliance Podcast – Unfolding ESG for Private Investments, with host Tom Fox, to break down the fundamentals, trends, and projections of the evolving ESG landscape through the lens of private fund managers.
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.