This session will explore the regulatory requirements, best practices and associated higher risk exposures faced by firms that utilize alternative investments for their advisory clients. The panel will discuss the various considerations for investment advisers wishing to incorporate non-traditional investments into the portfolios of their advisory clients. (Digital assets and ESG and will be covered in detail in other sessions).
• Determine the types of regulations that apply to alternatives, especially any that require additional registrations, licenses or disclosures
• Provide perspectives on the alternative investment/fund sector with a focus on valuation, compliance, risk, governance, and operations
• Review safeguards and procedures to adequately address suitability, allocation, strategy limitations, and available technology
• Explore employee education and training resources and programs for new products based on strategy complexities, requirements and financial style