The Chief Executive Officer of a growing investment adviser with multiple global subsidiaries recognized the need for a more senior human resources leader to support the firm's significant investment in an Asian expansion.
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A Small Cap Manager Investigates What A 2.0 Trader Could Do For Alpha Generation
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A $2B alternatives manager in Southern California required a Chief Compliance Officer for its advisory, brokerage, and futures compliance programs. The firm had aggressive growth goals, highly complex products, an ambitious “Type A” culture, and an unusual geographic location
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During a routine inspection, the staff of the Office of Compliance Inspections and Enforcement of the US Securities and Exchange Commission (OCIE) took a dim view of the fact that the investment adviser and affiliated mutual funds had an outsourced Chief Compliance Officer.
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Shareholders of a successful public closed-end fund had approved an expansion of the company’s activities to include the potential development of new products and the creation of an asset management subsidiary.
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The board of a global family of mutual funds requested a compensation analysis for their chief compliance officer. Our client was concerned that the amount and structure of the CCO's compensation was lagging in an increasingly competitive marketplace
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