Posted by Jake Biondo and Colin McLaughlinOne of the most important aspects of managing and advising investment funds is to protect those who invest in your fund. This includes providing them with timely audited financial statements to assist them in making critical investment decisions and...
Read MoreAs a registered investment adviser (RIA) managing a private fund, it’s crucial to navigate regulatory requirements effectively, including the question of whether or not you need a financial statement audit. While audits can be a valuable tool for transparency and accountability, they also...
Read MoreThis year has been historic for both the digital asset and exchange-traded fund (ETF) communities. In January, the SEC approved 11 spot Bitcoin ETFs, followed by eight spot Ethereum ETFs in July. With extensive experience and expertise in both the registered ETF and digital asset private fund...
Read MoreBusinesses continually look for ways to improve their processes and streamline operations, giving them a competitive edge in their industry. Technology plays an important role, with organizations looking to either buy or develop software that can help them achieve critical efficiencies.But how do...
Read MoreJay Laurila recently participated in a Nasdaq-sponsored webinar that also featured ETF specialists from K&L Gates and Brown Brothers Harriman. The insightful and wide-ranging discussion explored best practices for navigating the nuances of conversions to ETFs from mutual funds, SMAs and...
Read MoreAt the Investment Company Institute’s 2024 Leadership Summit, the rise of exchange-traded funds (ETFs) was the focal point for many participants and panelists. As part of the event, Board IQ took a few moments to interview Registered Funds Market Leader Brett Eichenberger alongside other...
Read MoreIn a somewhat unexpected ruling this past Wednesday, a Louisiana U.S. appeals court overturned in its entirety an SEC finalized rule adopted in August 2023. The rule, which amended the Investment Advisers Act of 1940, was intended to provide more protection to investors and transparency into non...
Read MoreKeeping the momentum of a record breaking 2023 — when the PCAOB was more active with standard setting and rulemaking than it had been over the past 10 years — the oversight body issued its second and third proposals of 2024 on April 9. PCAOB Release No. 2024-004, Firm and Engagement...
Read MoreCohen & Company received the distinction of “Best Accounting and Audit Services” in the 2024 With Intelligence Fund Operations and Services Awards. The annual awards ceremony recognizes and rewards fund service providers who have demonstrated exceptional client service...
Read MoreIn early 2023, the SEC proposed amendments that would redesignate the current custody rule — 206(4)-2 — as a new rule, 223-1, or the “safeguarding rule,” under the Investment Advisers Act of 1940. The extended comment period expired at the end of October 2023. As we wait...
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