SEC Compliance Insights for Registered Investment Companies

By Michael Patanella, Andrew Surgan & Charmone Adams, Grant Thornton Keeping up with compliance requirements is always a critical imperative in the highly regulated registered investment company (RIC) sector. As 2022 comes to a close, four risk alerts published in this calendar year by the SEC’s Division of Examinations staff (Division) provide important guidance for…

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NYAIR Episode 89 –Data: The Big Picture

Dr. Lev Borodovsky, the Chief Risk Officer of asset management firm Star Mountain Capital and author of The Daily Shot –a graphical newsletter that provides an unbiased visual overview of global macro currents, discusses what data anomalies are often hiding and how investors can use them to their advantage. Specific topics covered include: The discussion is facilitated…

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New York Alternative Investment Roundtable Announces Partnership with Fordham University Gabelli School of Business

New York, NY, January 17, 2023 – The New York Alternative Investment Roundtable is pleased to announce the Fordham University Gabelli School of Business as its newest non-profit sponsor. Founded in 1920, the Gabelli School of Business is focused on inspiring and empowering positive global change by developing students into enlightened and compassionate business leaders.…

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New York Alternative Investment Roundtable Names 2023 Leadership

NEW YORK, N.Y., January 6, 2023 – The New York Alternative Investment Roundtable today announced that it has chosen its leadership for 2023. Following is a list of the NYALT Board of Directors, officers and Management Committee members who will steer Roundtable initiatives for the year ahead, including expansion of the organization’s young professional’s initiative.…

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The Depth Report – Update on the Market, the Economy & the FED (Part 3)

By Gary Brode, Deep Knowledge Investing In Part I and Part II, we covered several aspects of Inflation/CPI.  It’s the single most important financial issue for 2022 so we explored the topic in depth.  Cutting to the end, a combination of higher interest rates, comparisons with last year’s high CPI, and falling real estate and auto prices will…

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New SEC Risk Alert Modernizes Investment Adviser Marketing Rules

By Patrick Warch, Baker Tilly The SEC issued a risk alert relating to the amended Advisers Act Rule 206(4)-1 (“Marketing Rule”) on September 19, 2022. The rule was adopted in December 2020, became effective on May 4, 2021, and included an 18-month transition period requiring compliance by November 4, 2022. This rule modernized rules that…

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2022 Year-End Asset Management Updates

By John Basile & Baylee Zimmerly, Baker Tilly Asset management’s 2022 year-end webinar provided an update focusing on the current state of the industry and an economic outlook. The webinar included trending topics in the industry such as digital assets, environmental, social and corporate governance (ESG), tax changes and cybersecurity, which members of the Baker…

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Japanese Debt -We’re Taking a Victory Lap

By Gary Brode, Deep Knowledge Investing We told you last night that Japan was throwing in the towel on its (approximately) zero interest rates and was raising rates to defend the yen.  I read today that earlier this month, Morgan Stanley had predicted that Japan would hold the line on its debt through all of 2023.  While…

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NYAIR Episode 88 –The G in ESG is Key

Jasper van Brakel, president and CEO of RSF Social Finance, will discuss the rising importance of governance within the alternative investment industry amidst ever-changing rules and regulations. The discussion is facilitated by Robert Akeson, managing director of investment banking at Riverside Management Group.

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