November 2020 – Terrance J O'Malley

By Dana Evans

November 25, 2020

Giving Thanks from the Operational Leaders Podcast

We’ll be home for the holidays and returning next Wednesday with a new episode. In the meantime, we’re spending this Thanksgiving with our immediate families. Our host, Terrance O’Malley, recalled the last time he

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By Dana Evans

November 21, 2020

SEC Warns Advisers About Compliance Program Weaknesses

This caught my eye. The SEC staff just put out a Risk Alert highlighting deficiencies and weaknesses at investment advisory firms. Two stood out to me: • Some advisers did not “devote adequate resources”

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By Dana Evans

November 20, 2020

Key Quotes from Meredith Moss on Automating the Client On-Boarding Experience

Here are some key quotes from my latest podcast with Meredith Moss, Founder and CEO of Finomial, discussing the automation of client on-boarding and the client lifecycle management platform. “I saw that the process

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By Dana Evans

November 18, 2020

Meredith Moss – Automating the Investor Experience

There has to be a better way to invest in alternative funds. Meredith Moss and her team at Finomial have found one. Meredith has been leading Finomial as CEO since its start in 2011.

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By Dana Evans

November 17, 2020

Flashback! 2007 Publication – “An Overview of the SEC Enforcement Process”

It was great to come across an article from 2007 that I co-authored with Kevin Harnish and Michael Umayam. The article takes a look at how the SEC investigates and pursues potential enforcement cases,

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By Dana Evans

November 13, 2020

Moderator: HFM Virtual Symposium – Thursday, November 19th

Looking forward to moderating a panel at the upcoming HFM Virtual Symposium. We’ll be talking about trends and developments in securities litigation. I’ll be joined by * Michael McGarry, Assistant U.S. Attorney of the

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By Dana Evans

November 13, 2020

Key Quotes from Pete Cherecwich on the Expanding Services Behind Asset Servicing

Here are some key quotes from my latest podcast with Pete Cherecwich, President of Northern Trust Asset Servicing, discussing how his firm has expanded its offerings for middle and back offices. “[Northern Trust] split

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By Dana Evans

November 11, 2020

Pete Cherecwich Explains the Expanding Role of Asset Servicing

Pete Cherecwich serves as the President of Northern Trust Asset Servicing where he oversees 10,000 employees and multiple business lines. From this position, he has a unique perspective on the asset management business. In

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By Dana Evans

November 9, 2020

Impact of the U.S. Election on Private Fund Regulations: Five Quick Take-Aways

From Terrance J. O’Malley Here are five quick take-aways on how the U.S. presidential election results might impact the SEC’s regulation of private funds. 1. An Emphasis on Investor Protection. The SEC is a

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By Dana Evans

November 6, 2020

Key Quotes from Rado Lipuš on Alternative Data

Here are some key quotes from my latest podcast with Rado Lipuš, Founder & CEO of Neudata, discussing alternative data sets and sources: “The term alternative data wasn’t widely used yet. But anything which

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By Dana Evans

November 4, 2020

Rado Lipuš on Sourcing and Assessing Alternative Data

The quest for alternative data has grown exponentially over the past few years, and so have the challenges of identifying and assessing the value of alternative data sources. Rado Lipuš and his team at

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Giving Thanks from the Operational Leaders Podcast

SEC Warns Advisers About Compliance Program Weaknesses

Key Quotes from Meredith Moss on Automating the Client On-Boarding Experience

Meredith Moss – Automating the Investor Experience

Flashback! 2007 Publication – “An Overview of the SEC Enforcement Process”

Moderator: HFM Virtual Symposium – Thursday, November 19th

Key Quotes from Pete Cherecwich on the Expanding Services Behind Asset Servicing

Pete Cherecwich Explains the Expanding Role of Asset Servicing

Impact of the U.S. Election on Private Fund Regulations: Five Quick Take-Aways

Key Quotes from Rado Lipuš on Alternative Data

Rado Lipuš on Sourcing and Assessing Alternative Data

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