News & Events

In the FundFire Article; Cooperman, Cohen Plan Big Comebacks from SEC Wounds by Lydia Tomkiw, Chris Addy, President & CEO of Castle Hall comments "Investors have a range of risk tolerances when it comes to allegations of regulatory breaches, with prior relationships and returns coming into play."

“Your compliance procedures need to be top tier,” Addy says of firms that have gone through regulatory events. “Investors will really be looking for a clear tone of management that the organization has a laser focus on compliance effectiveness both in terms of requirements of the rules and spirit of the rules.”

If an operational due diligence team can become comfortable with the compliance environment, both the process and culture, then investors will be more prepared for allocation decisions with managers that have dealt with regulatory issues, Addy says.

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