blog-ethics-law

It is imperative that the chief compliance officer of an RIA review the RIAs policies and procedures to make certain that the Code of Ethics and policies and procedures are up to date and contain a definition of “Access Person” that is consistent with Rule 204A-1 and the SEC’s interpretations of that rule

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f5b02ec5-0026-4a64-9611-6837ceb8501a

Greetings, We begin with the United States where new capital goods orders (ex-aircraft) continue to decline. Weak Capex is likely to keep productivity growth low for some time to come. According to Merrill Lynch, investors are keenly aware of this situation and apparently would like to see more Capex spending by companies. So far, however,

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Balancing-Backstory-600x385

Whether you are a first-time author of a press release or seasoned professional, it’s easy to get so carried away as excitement builds over a promotional opportunity that we may easily forget to take a step back and consider the need for a reality check. Before rushing into a PR campaign or crafting a single news announcement on behalf of a hedge fund, asset allocator or service provider to the alternative investment community, consider a rundown or checklist of communication tips and traps highlighted below

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