Critical Compliance Tips For Digital Asset Funds
from Alt Funds Network Hosted by Mike Schroeder & Skyler Steinke
Find us online: https://altfunds.io/ Email us with topic ideas: [email protected] Spotify: https://bit.ly/4afXcan Apple Podcast: https://apple.co/4akXAUS Google: https://bit.ly/4am9oXk 👇 Click Below to be a guest on our video podcast: 👇 https://bit.ly/46X7cSQ Connect with Gena Dirani: Company Website: https://www.salusgrc.com/ Company LinkedIn: https://www.linkedin.com/company/salus-grc/ LinkedIn: https://www.linkedin.com/in/gena-dirani-04196625/ Timestamps: 00:00 Introduction and Guest Welcome 00:35 Gena Dirani's Background and Current Role 01:15 Current State of Digital Assets 03:23 Regulatory Interactions and Compliance Tips 05:03 Preparing for SEC Examinations 10:32 Custody Solutions and Due Diligence 18:03 Personal Trading Policies 23:46 Vendor Due Diligence and AML/KYC 31:39 Best Execution and Exchange Considerations 34:45 Form ADV Disclosures 45:14 Cybersecurity and Final Advice 47:13 Conclusion and Contact Information Disclaimer: Alt Funds Network LLC and its affiliates, episode guests, and the companies they represent do not provide tax, legal or accounting or investment advice. This material has been prepared for informational and educational purposes only, and is not intended to provide, and should not be relied on for, tax, legal or accounting advice. You should consult your own tax, legal, accounting, and investment professionals before engaging in any transaction or making any financial or legal decision based on your specific situation.
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What this episode covers
Background: Gena Dirani - Managing Director at Salus GRC - a compliance consulting firm that offers a full range of solutions to support the compliance function for SEC registered investment advisers. Gena is an attorney by trade and has worked in the compliance space for nearly 10 years, with a current focus on compliance for digital asset managers. Description: Gena Dirani, a seasoned compliance consultant from Salus GRC, delves into the complexities of compliance for SEC-registered investment advisors, with a special focus on digital assets. The conversation covers key topics such as the shift of digital assets to mainstream finance, the role of regulatory scrutiny, the importance of best practice compliance, and how fund managers can navigate the evolving landscape. Gena shares practical insights on preparing for SEC exams, vendor due diligence, personal trading policies, and cybersecurity measures tailored for the digital asset space. Essential listening for fund managers keen on staying ahead in the compliance game.
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