Consultants, Investment Advisers, and Compliance Jun1

Posted by & filed under Compliance, White Papers/ Thought Pieces.

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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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Severance Agreements Mar16

Posted by & filed under White Papers/ Thought Pieces.

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When faced with terminating an individual’s employment, managers often ask themselves if they should pay a severance to the departing employee. Severance pay is not a requirement, unless promised in a contract, offer letter, as a matter of company policy or under the narrow Worker Adjustment and Retraining Notification Act. Several issues should be considered when setting the severance

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Establishing a 1940 ACT Alternative Fund Oct2

Posted by & filed under White Papers/ Thought Pieces.

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An overview of the mutual fund regulatory framework is needed to understand the legal and compliance aspects of launching and operating a liquid alternative fund.  What are the key regulatory considerations?  How is operating a mutual fund different from a hedge fund?  What is an “Alternative ’40 Act Fund?” Why is board approval and oversight

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