NYAIR Episode 96 –Nowcasting On Near Term AI/ML Adoption Within Financial Institutions 

Gary Wong, FinTech partner and AI/ML expert for Trading and RisksFin, discusses the AI/ML landscape within financial institutions and the realistic expectations investors should have for these technologies. The discussion is facilitated by Riverside Management Group’s Robert Akeson. A few thoughts from Wong regarding AI: 1) AI is here, and it is just the beginning. It…

ESG Compliance Insights for Registered Investment Companies

By Michael Patanella; Marjorie Whittaker; Mark Zavodnyik and Charmone Adams, Grant Thornton A strong emphasis from the SEC raises the stakes Keeping up with compliance requirements is always a critical imperative in the highly regulated registered investment company (RIC) sector. An often overlooked and increasingly important compliance function is environmental, social and governance (ESG) compliance….

ESG in Asset Management: Investors Spark Action

By Michael Patanella and Mark Zavodnyik, Grant Thornton Regulation adds complexity to strategy and reporting Environmental, social and governance (ESG) topics are often at the forefront of discussions across the asset management industry — both in the U.S. and on a broader, global scale. Investors play a prominent role in driving ESG initiatives forward. In…

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NYAIR Episode 95 –An Alternative Perspective

Maneet Ahuja, a senior editor at Forbes and the founder of ICONOCLAST; Antoine Gara, a US Private and Institutional Capital Correspondent for the Financial Times; Sarah Tomolonious, a Partner and Head of Investor Relations at M13 and Amanda Cantrell, US investing team leader for Bloomberg discuss the strengths and weaknesses of how information is shared on…

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New York Alternative investment Roundtable Announces President-Elect

NEW YORK, N.Y., May 23, 2023 – The New York Alternative Investment Roundtable (Roundtable) is proud to announce that Kunjan Mehta has been named the organization’s next president, beginning January 1, 2024. As president-elect, Mehta will continue to work with the current and outgoing president, Alessandra Tocco, to transition all duties. Mehta is a partner…

It’s time to review your financial institution’s liquidity and ALM practices: leverage your data to mitigate risk

By Kevin Schalk, Ivan Cilik and Sean Statz, Baker Tilly How can your financial institution prepare, but more importantly, thrive in an uncertain risk environment? Over the past year, banks and credit unions have experienced changes in how they go about managing liquidity and interest rate risk, while also considering what asset liability committees (ALCOs)…

SEC 2022 Enforcement Report highlights evolving areas of cryptocurrency, ESG and cybersecurity

By Kristen Hughes, Baker Tilly In November 2022, the Securities and Exchange Commission’s (SEC) Division of Enforcement published its enforcement results for 2022. The annual report was presented as a press release and accompanying addendum which provides a statistics summary and indexes the actions filed through the year. During the year, the Division filed 760…

SEC Examinations: 2023 Examination Priorities for private fund managers update

By Nicholas Prentiss, Baker Tilly The SEC’s Division of Examinations (“Division”) published an Alert, 2023 Examination Priorities, which detailed the significant focus areas that the SEC will prioritize during upcoming examinations. The four pillars of the Division’s Examinations policies include (1) promote compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy. The Examination Priorities…

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