Topic
Type
Learn when private fund managers need specialized investment performance support beyond fund administration for reporting, fundraising, and investor requests.
Article
Investment Performance, Investor Reporting, Private Funds
SEC approved FINRA Rule 2210 amendments permit limited use of performance projections and targeted returns in broker-dealer communications.
Compliance Alert
Broker-Dealer, FINRA, Private Funds, SEC
The FCA’s SM&CR proposals would reduce prescription, but not firms’ responsibility for accountability, competence, or Conduct Rule awareness.
Compliance Alert
Conduct Rules, FCA, SM&CR
The FCA’s private markets conflicts review highlights governance and investor-fairness risks, with practical actions for firms to consider.
Compliance Alert
Conflicts of Interest, FCA, Governance, Private Markets, Valuation
Learn how to launch and distribute an exchange-traded fund, including compliance, fund structure, service providers, and distribution planning.
Article
Asset Management, Exchange-Traded Fund, Regulatory Compliance
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