2021 IA/BD Compliance Update

Aspect Advisors and Cole-Frieman & Mallon are excited to usher in our second annual compliance update, albeit in a virtual format this year.  [For a summary of our event last year, please go here.]

These past twelve months have been especially eventful from both a regulatory and business perspective, with both the traditional investment management space and the digital asset world experiencing a number of noteworthy progressions.  The event will address the following topics:  

  • 2021 compliance calendar (including Form ADV annual update)
  • Major issues from the SEC and courts in 2020
  • The year of Bitcoin and DeFi
  • Fintech regulations and best practices
  • Other hot topics

The event is on January 21, 2021 at 10am PT. You can register here.

Although virtual, we will have an opportunity for real time audience questions to help guide the discussion. We look forward to seeing you all then!


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.

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