SEC Proposes Rule Requiring Investment Advisers to Adopt Business Continuity and Transition Plans Jun30

Posted by & filed under Compliance.

imgres

The Securities and Exchange Commission today proposed a new rule that would require registered investment advisers to adopt and implement written business continuity and transition plans. The proposed rule is designed to ensure that investment advisers have plans in place to address operational and other risks related to a significant disruption in the adviser’s operations in order to minimize client and investor harm

... Read more »

What Investors Will Ask During an Operational Due Diligence Exam Apr26

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

Shad

Michael V. Merrigan, Founder & Managing Member Shadmoor Advisors LLC contributes the following post. Shadmoor Advisors will be one of the specialists hosting a table at our Table Talks event in New York on May 2nd. As we approach the event we will be featuring white papers from our various specialists.   Beyond Valuation, Compliance &

... Read more »