Silver today announced the official launch of Silver Due Diligence Preparation Services. Led by senior investment, operations, marketing and compliance professionals, Silver’s due diligence services help investment managers withstand investor scrutiny by developing institutional quality processes and response standards.
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.
Silver reviews the most important areas of focus from the SEC's 2021 Exam Priorities, including ESG and climate-related risks, compliance risks and conflicts of interest for investment advisers, and a continued focus on digital assets.
Private fund managers are under increased pressure to consider and report on the climate risks in their portfolios. In this article published by Law360, Silver’s Head of ESG Strategy, Trysha Daskam, provides practical steps for private fund managers to assess and mitigate climate risks.
As workforces adapted to going remote, the OCIE increased attention on several key areas for investment managers. Silver outlines 21 things for investment management compliance teams to consider in 2021.
In this three-part webinar series featuring regulatory compliance and investigative experts, Silver's CEO, Fizza Khan, moderates discussions interpreting the OCIE’s most recent Risk Alerts and highlighting the top compliance concerns for private fund managers.