Key considerations for investment advisers A Deloitte Report The growing number and complexity of cybersecurity risks facing investment advisers (IAs) has triggered an increased interest in cyber risk management by the United States Securities and Exchange Commission (SEC). Cyber risks and the SEC’s related focus are particularly relevant for mutual funds, hedge funds, and private…
By Alston & Bird partners David J. Baum and Martin H. Dozier Executive Summary Using personal devices and messaging platforms may be convenient (and ubiquitous), but it may run afoul of federal records retention rules. Our Investment Management, Trading & Markets and White Collar, Government & Internal Investigations Teams examine the latest federal enforcement and…
An Alston & Bird Investment Management Advisory Our Investment Management, Trading & Markets Team offers practical takeaways from the Securities and Exchange Commission’s pair of proposed rules that would bring extensive changes to how private fund advisers can do business. The private fund adviser proposal brings six different rules into play The cybersecurity proposal addresses…
An all-female forum in honor of International Women’s Day. Susan Webb, President & CIO of Appomattox Advisory, discusses a broad range of topics across the alternative investment industry with a panel of high-profile women. Panelists: Cynthia DiBartolo, founder and CEO of Tigress Financial Partners and the CEO of Rise Financial and Rise Prime. Caroline Lovelace,…
By Patrick Warch, Baker Tilly In an ideal situation, all securities trade transactions would settle as close to real time as possible. Therefore, the securities industry continues to evaluate an accelerated settlement cycle for U.S. equities by 2023, from the current two business day (T+2) settlement cycle to a one business day (T+1) settlement cycle….
By Yelena Maleyev, Economist, Grant Thornton New home construction, aka housing starts, missed expectations to start the year at 1.64 million, a 4.1% drop from the elevated pace of December. Activity in both the single- and multifamily construction sectors was weaker. The South and Midwest reported the largest losses as winter storms and supply chain…
By Diane Swonk, Chief Economist, Grant Thornton Wall Street’s love affair with low rates and the Federal Reserve is about to come to an abrupt end. Fed Chairman Jay Powell all but promised to start raising rates in March following the January Federal Open Market Committee (FOMC) meeting. He said that “…it will soon be…
By Samuel Gehebe, Baker Tilly On Oct. 13, 2021, the U.S. Securities and Exchange Commission (SEC) adopted amendments to modernize filing fee disclosures and payment methods (SEC Release No. 2021-209) which are generally effective Jan. 31, 2022. The goal is to revise most fee-bearing forms, schedules and related rules to require entities to include all necessary…
Dr. David McClean, a senior consultant at DMA Consulting Group, discusses the various investment opportunities in Africa that the alternative investment community should be aware of with a panel of industry experts comprised of Tracey Austin, Sector Director Financial & Professional Services, UK Department for International Trade | Africa and Board Member, Impact Investing South…
There is roughly $900 billion of investor money earmarked for venture capital investments. But how do you value an early-stage organization that has yet to generate any revenue? Antonella Puca, a Managing Director at MPI Business Valuation and Advisory, discusses the best ways to approach valuing early-stage investments. Topics covered include: Recent guidelines and new…
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