Spotlight on Compliance

Published: March 11, 2020

At Klingenstein Fields Advisors (KF Advisors), we recognize that expertise in compliance and legal issues is an integral part of how we serve you. We strive to stay at the leading edge of industry knowledge. Maria Chambers, IACCP®, Chief Compliance Officer, is often asked to speak at industry conferences and has previously presented on topics such as the importance of rigorous sub-adviser due diligence.

At this year’s Investment Adviser Association (IAA) Compliance Conference 2020 in Washington, DC, Maria was part of an expert panel on the topic of “Vendor Due Diligence: One Approach Does Not Fit All.” During the session, Maria and other senior legal and compliance professionals discussed different strategies for conducting due diligence. These included the SEC’s advice regarding the assessment of third-party providers, suggestions for who at the firm should participate in the process, and guidance on the kinds of risks to anticipate for different types of providers. We are proud to have Maria represent us in this forum and have always found that her participation in these meetings and discussions provides us with valuable insight on industry best practices.

At KF Advisors, working to address compliance issues and concerns is key to providing high-quality service to our clients. We welcome the opportunity to discuss any questions you may have regarding compliance or other topics.

Important Disclosures

This material is provided for informational or educational purposes only and should not be construed as investment, accounting, tax or legal advice. Always consult a financial, tax and/or legal professional regarding your specific situation. This communication is not intended as a recommendation or as investment advice of any kind. It is not provided in a fiduciary capacity and may not be relied upon for or in connection with the making of investment decisions. Nothing herein constitutes or should be construed as an offering of advisory services or an offer to sell or a solicitation to buy any securities or a recommendation to invest in any specific investment strategy. Investing involves risk, including the possible loss of principal. Past performance is not indicative of future returns. The views expressed herein are as of a particular point in time and are subject to change without notice. The information and opinions presented herein are general in nature and have been obtained from, or are based on, sources believed by Klingenstein Fields Advisors (“KF Advisors’) to be reliable, but KF Advisors makes no representation as to their accuracy or completeness. Although the information provided is carefully reviewed, KF Advisors cannot be held responsible for any direct or incidental loss resulting from applying any of the information provided. KF Advisors represents two investment advisers registered with the Securities and Exchange Commission: Klingenstein, Fields & Co., L.P. and KF Group, LP. If you are a KF Advisors client, please remember that it remains your responsibility to advise KF Advisors, in writing, if there are any changes in your personal/financial situation or investment objectives for the purpose of reviewing/evaluating/revising our previous recommendations and/or services, or if you would like to impose, add, or to modify any reasonable restrictions to our investment advisory services.