A large West Coast mutual fund manager requested an assessment of the firm’s governance framework.
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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 founders of a growing institutional Small and Mid Cap manager with limited product capacity and excellent investment performance wanted to assess the back-office infrastructure, processes, and staff against an anticipated 100% growth in AUM over a three-year period.
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The CCO of a $7B AUM investment adviser requested assistance managing the firm’s compliance program and testing plan in a way that assessed, incorporated, and mitigated regulatory and operational risk.
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