How well does your asset management firm track its obligations?

In FY21, 23% of SEC enforcement actions were against registered investment advisers and investment companies — more than any other group.

GPs have every reason to believe the SEC will continue to scrutinize their fees and expenses, conflicts of interest, preferential treatment of LPs, and more. And if the SEC’s proposed amendments move forward, firms must be prepared to meet new compliance requirements.

Learn about the evolving regulatory landscape and a solution to better manage your growing number of commitments to investors and regulators. Insight is Ontra’s custom-built solution to help asset managers stay on top of their promises.

Watch our on-demand webinar, where you’ll learn about:

The SEC’s proposed changes to Form PF and the Investment Advisers Act of 1940

How the trend toward regulation may impact the private funds landscape

How Ontra built a solution to help fund managers fulfill their growing number of obligations to investors

Learn about a better way to manage your commitments to investors and regulators.

Speaker

Miles Chan

VP/GM of Insight

Miles is the VP / GM of Insight at Ontra. Prior to Ontra, Miles practiced corporate and securities law at Weil Gotshal in London and Simpson Thacher in New York. Miles holds a J.D. from the University of Chicago and a B.A. from Washington University in St. Louis. In his spare time, Miles enjoys surfing, songwriting and playing the guitar.

Stricter SEC Regulation on the Horizon: Are You Prepared?