In this podcast, Pepper partner Gregory J. Nowak is joined by Myles Edwards, General Counsel, Chief Compliance Officer and Chief Operating Officer at Shufro, Rose & Co. and Irshad Karim, General Counsel at Lion Point Capital.

Mr. Nowak leads a discussion on

• fund expenses – recent SEC initiatives

• fund due diligence

• cross trades – what are they and what to look out for?

• the recent FinCen Proposal to extend AML reporting to RIAs and their funds – what does it mean for family offices?

• the outsourced CIO – a megatrend or fad?