Staying Abreast of Alternative Investment Strategies

John Hunt will join the panel discussion, "Staying Abreast of Alternative Investment Strategies" on October 17, 2022, part of the National Society of Compliance Professionals (NSCP)'s National Conference.

In this session the panelists will explore the regulatory requirements, best practices and associated higher risk exposures faced by firms that utilize alternative investments with their advisory clients. The panel will discuss the considerations investment advisers should evaluate when wishing to incorporate non-traditional investments into the portfolios of their advisory clients. (Digital assets and ESG will not be covered in this Session.)

Learning Objectives:

• Determine the regulations that apply to alternatives, and evaluate additional firm level registrations, and/or disclosures
• Provide perspectives on the alternative investment/fund sector with a focus on valuation, compliance, risk, governance, due diligence, and operations
• Review safeguards and procedures to adequately address suitability, allocation, strategy limitations, and available technology to assist with surveillance of investments.
• Enhance employee education and training resources and programs for new products based on strategy complexities, requirements, and financial style