Doug Cornelius on compliance for private equity real estate
ECM had investment advisory clients and managed two private funds in which some of its advisory clients invested. Based on the SEC order it looks like ECM tripped over the complexities of the Custody Rule in managing the investments. An investment adviser has custody of client assets if it holds, directly or indirectly, client funds … Read more »
Investors have increased their focus on Environmental, Social and Governance issues. This panel focused on the compliance role in ESG. According to a poll at the conference, about half of the attendees have a written ESG policy and consider ESG as part of their strategy. There is the balance between wanting to invest for good … Read more »