Monthly Archives: January 2020

Aspect Advisors & CFM Compliance Update – January 23, 2020

IA / BD 2020 Compliance Overview & Networking Event

We would like to take this opportunity to introduce you to Aspect Advisors, a firm that focuses on regulatory compliance services for investment managers.  Aspect started at the beginning of 2019 and brings compliance solutions to broker-dealers, fintech companies, and traditional investment managers (hedge, PE, VC, real estate).  In conjunction with Justin Schleifer (President and Co-Founder of Aspect), we’d like to invite you to a compliance update presentation and networking event at the offices of Cole-Frieman & Mallon LLP on January 23rd.  The event will address the following topics:

  • 2020 compliance calendar (including Form ADV annual update)
  • Major issues from the SEC and courts in 2019
  • SEC focus on crypto / digital assets in 2020
  • Fintech regulations and best practices
  • Regulation Best Interest
  • Other hot topics

We are planning an engaging event with audience participation and discussion so come ready with questions!  If you are interested in joining, please review the information below and contact us for more information.

Best regards,
Bart

 

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Bart Mallon is a founding partner of Cole-Frieman & Mallon LLP. Cole-Frieman & Mallon has been instrumental in structuring the launches of some of the first digital currency-focused hedge funds. For more information on this topic, please contact Mr. Mallon directly at 415-868-5345.