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.