American Elm

Happy Halloween!

Need expert guidance on developing an outstanding training program at your broker-dealer and/or investment advisory firm? Seasoned CCO Jessica Murray of American Elm shares her blueprint for creating an impactful continuing education program. Her insights cover essential training topics, valuable compliance resources, and practical ways to ease administrative busy work. #trainingtips #brokerdealers #investmentadvisers

The SEC just unveiled its 2025 Exam Priorities, marking a significant shift! These updates parallel the trends highlighted in our Quest CE April 2024 webinar on SEC/FINRA exam priorities and emerging risks. Catch the recording on the QuestCE webpage for insights. Key Takeaways to note: ? New Tech Focus: SEC emphasizes AI, predictive analytics, and alternative data adoption by firms. ? Retail Investor Protection: Increased scrutiny on RIAs, conflicts of interest, and safeguarding retail investors. ? Climate Disclosures: Expect a tougher stance on ESG claims to combat greenwashing. ? Digital Broker-Dealer Practices: Enhanced oversight on digital engagement, gamification, and its impact on investor behavior. ? FinTech Expansion: DeFi, blockchain tech, and AI innovations are in the regulatory spotlight. These priorities signify swift regulatory changes—stay alert, firms! #compliance #SEC #RIA #Regulation #FinTech #ESG #InvestmentAdvisers #complianceconsulting #Americanelm

End of year is quickly approaching, have you started your Annual Compliance Training Program? Reach out to @Julie Bruno today. #compliance #ACM #ACP #needsanalysis #brokerdealer

At American Elm, we pride ourselves in taking a customized approach to our consulting services. We partner with fund managers, RIAs, BDs, and insurance companies, assessing your goals and providing support in the areas that you need most. Get in touch to talk about how we can discover - and close the gaps - in your operations. IR: Christina Oakes Compliance: Julie Bruno #alternativeinvestments #investorrelations #complianceconsulting #brokerdealer #investmentadvisor #compliance #fundmanagers #insurance

How can we help your firm? Our skilled team of advisors deliver more than forty years of compliance experience. Contact Julie Bruno for more information about our compliance consulting services. #compliance #complianceexperience #complianceconsulting #AmericanElm #solutionsfocused

Happy Labor Day from American Elm!

As the demand for alternative investments grows, it's clear that financial advisors need comprehensive education to navigate these complex products effectively. The recent article from Real Assets Advisor highlights this critical need, but it also raises a question: What training options are available, and how can they be tailored to meet specific needs? At American Elm, our team has a unique skillset in both a training AND compliance- this enables us to help RIAs and Fund Sponsors to: - Create personalized training to educate your sales teams on alternative asset classes and/or specific private fund offerings to elevate your sales results in a compliant manner; - Ensure the training addresses regulatory concerns and limitations to sales, especially when the product may not permit general solicitation; - Utilize the robust & reliable education platform provided by Quest CE enabling the training to be completed easily and avoid the high costs of proprietary training platforms. Feel free to reach out if your firm needs to implement a training program in this growing asset class. #FinancialAdvisors #AlternativeInvestments #Education #Compliance #Training #AmericanElm #QuestCE #RIAs #PrivateFundSponsors #privatefunds

It might not be obvious at first, but fund managers - and RIAs with clients investing in alternative funds - have a lot of the same goals. Whichever side you’re on, American Elm’s IR team can help you achieve them. Contact Christina Oakes to learn more about our approach. #investorrelations #limitedpartners #alternativeinvestmentfunds #americanelm

It might not be obvious at first, but fund managers - and RIAs with clients investing in alternative funds - have a lot of the same goals. Whichever side you’re on, American Elm’s IR team can help you achieve them. Contact Christina Oakes to learn more about our approach. #investorrelations #limitedpartners #alternativeinvestmentfunds #americanelm