In the Wells Fargo Prime Services, Business Consulting Quarterly Report (June 2019), Counsel David Tang and Senior Manager, Business Development, Investment Management Industry Jaclyn Greco each authored articles.

Mr. Tang’s article is titled, “Compliance Hot Topics to Know.” In the article, he highlights certain compliance hot topics that Seward & Kissel Regulatory Consulting (SKRC) has observed in the context of providing compliance consulting, conducting mock audits and advising clients on SEC exams. The article takes a closer look at the most important document in a registered investment adviser’s compliance program, the compliance manual.

Ms. Greco’s article is titled, “Hedge Fund Seeding Activity in Emerging Managers,” and uses the 2014-2018 Seed Transactions Deal Points Study to analyze trends and key considerations when negotiating seed deals.

To read the articles, please click here.