By Gary Brode, Deep Knowledge Investing For those of you who don’t follow the daily hyperventilating financial press, the big news during the last few weeks has been the potential debt default by the US government that will roil financial markets, make international trade uncertain, and cause a worldwide recession or worse. DKI has been…
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….
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…
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…
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…
Will Powers, Chief Operating Officer of AKRU, discusses the ins and outs of tokenizing real estate and how investors are using fractionalization to enhance liquidity, while also lowering fees and minimums. The discussion is be facilitated by Robert Akeson.
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)…
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…
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…
By Gary Brode, Deep Knowlege Investing DKI has written constantly about inflation since November of 2021 when we warned that it was going to be a bigger and more persistent problem than most people thought. We also provided practical specific ideas for how to protect your portfolio. By January of 2022, we were saying clearly that the Federal…
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