Four Common Mistakes Managers Make During SEC Audits
Alternative Investment Firms primarily focus on the investment side of the business, but it is important that they do not neglect the operational side of the equation. In today’s complex regulatory landscape, compliance and cybersecurity are major concerns for the Securities and Exchange Commission and are sure to come up in an audit.
Check out Gartland’s latest white paper with Backstop Solutions, titled “4 Mistakes Alternative Investment Firms Keep Committing During Sec Audits…Even Though They Know Better,” to learn how to avoid common mistakes made when the SEC shows up.
Together with Backstop Solutions, Gartland and Mellina Group (GMG) co-hosted a 60-minute webinar on March 1st, 2017 to educate investment firms on how to avoid common mistakes when the SEC shows up. Speaker panel includes:
- Michael Byl – Michael is a Senior Manager at GMG. He managed large institutional asset management clients for over twenty years, working for the Travelers, Pacific Financial (parent of PIMCO) and Julius Baer. In 2001, he founded his own independent consulting firm, and took over the management of a broker dealer and registered investment adviser, serving as President and Chief Compliance Officer of both firms that combined reached a peak of $12 million in annual revenue.
- Bob Simon – Bob is a Vice President at Backstop Solutions and has 20 years of experience in financial services, with 15 years specializing in Alternative Investment and Institutional Asset Management. At Backstop, Bob is responsible for the sales engineering and consulting activities of the Global Solutions Consulting Team.
- Molly Griffin – Molly is a Senior Associate at GMG, where she specializes in outsourced compliance consulting for hedge fund and private equity firms. Prior to joining Gartland & Mellina, Molly was a consultant at Avalon Lake Partners, where she was active in the establishment of investor relations programs, operational due diligence protocols, and marketing campaigns for a variety of alternative investment firms.