Spotlight on Compliance

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.

The information provided here is for general informational purposes only and should not be considered an individualized recommendation or personal investment advice. KF Advisors is neither a law firm nor accounting firm, and no portion of its services should be construed as legal or accounting advice. 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. A copy of our current written disclosure statement discussing our advisory services and fees is available upon request or by clicking here. Please read the expanded disclosures in the linked report.