Regulation & Compliance
5 Ways to Stay on Top of Your Career Growth Game
Today’s fast-paced and dynamic world means that opportunities to learn new skills and grow professionally are practically boundless for those who want to seize them. We’ve identified a few key actions to take to ensure that you’re on the right path forward. Consistent Training & Development. Training and development are critical for any professional. It…
Read MoreTraining isn’t just important to a company, it is vital.
Although there are many categories of training, employees with cross-departmental skills are an important asset to any organization. But what does training and development, mean to your organization? Training presents a prime opportunity to expand the knowledge base of all employees, but many employers in the current climate find development opportunities expensive. Employees attending training…
Read More4 Common Myths About Developing your Skills and Knowledge
A lot of misinformation floats around the internet and through workplaces about what professional development entails and what employees should expect from their employers in terms of support, benefits, and total compensation. Below, we dispel five common myths. Myth #1 Broadening your skills will be easy. Professional development takes time and energy. Finding a course…
Read MoreDon’t Get Left Behind: Why It’s Critical to Engage in Professional Development
Within financial services, investors are demanding that the financial professionals with whom they work have the latest information at their fingertips and are up to date on all the latest tools and changes in the regulatory landscape. This means that financial professionals who don’t seek ongoing training and development are being left behind as their…
Read MoreWhat can SEC examinations teach me about third party due diligence?
IMDDA hosted a webinar “How Understanding SEC Examinations Can Inform the Due Diligence Process”. We’ve pulled a few of the key takeaways from the presentation to form a series of tips you can apply right away. Reviewing Examination Summary Letters & Responses Your optimal situation here is to have a copy of both the original…
Read MoreOpinion: Fraud is fraud – Why investors need to leave Vista Equity
News reports about Vista Equity over the last few months have taken many investors by surprise. It is not often that such an apparent pillar of the investment community falls from grace — think Madoff, for those of you who were wondering. When a founder, chairman and CEO of a firm admits to being part…
Read MoreRegulatory requirements for cybersecurity diligence investment managers
We all know cybersecurity is a huge hot topic in investment manager due diligence. But do you know what elements of your cybersecurity diligence are required by law, which are fiduciary duties and which are best practice? IMDDA hosted an on-line workshop featuring expert guidance on all 3 areas that you can listen to right away. Or,…
Read MoreWhat is the AUM threshold for a fund to register with the SEC?
You asked and we answered. For our first blog in our Ask an Expert series: What is the AUM threshold for a SEC registration? It might not be what you think it is. This applies to any fund relying on 3c1 or 3c7. The law is and has been since Dodd Frank that SEC registration is…
Read MorePredictions for ESG and investment manager due diligence
ESG (Environmental, Sustainability, and Governance) is one of the fastest growing asset classes and as such, more focus is being placed on its inclusion in the investment manager due diligence process. Triggered by the SEC Concept Release in 2016 that contained a section on ESG measurement and reporting, we have seen several shifts in the…
Read MoreEstablishing ESG metrics for investment manager due diligence
ESG (Environmental, Sustainability, and Governance) is estimated to be a 70 trillion-dollar asset class, with returns often outstripping traditional rivals by a significant margin. But this golden egg laying goose comes with its own challenges, primarily how to measure and report on the ESG aspects of the investment. Why ESG due diligence matters If…
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