In this podcast, Pepper partner Gregory J. Nowak is joined by Myles Edwards, General Counsel, Chief Compliance Officer and Chief Operating Officer at Shufro, Rose & Co. and Irshad Karim, General Counsel at Lion Point Capital.

Mr. Nowak leads a discussion on

  • fund expenses – recent SEC initiatives
  • fund due diligence
  • cross trades – what are they and what to look out for?
  • the recent FinCen Proposal to extend AML reporting to RIAs and their funds – what does it mean for family offices?
  • the outsourced CIO – a megatrend or fad?

Download the Powerpoint slides.

Click here to hear the audio.

Myles Edwards

Irshad Karim