Optima Partners is a leading global consultancy specializing in compliance regulation, ESG, and cybersecurity. With offices strategically located in New York, Chicago, San Francisco, Los Angeles, Miami, London, Dubai, Abu Dhabi, Hong Kong, and Singapore, we provide advisory services to hedge funds, private equity firms, broker/dealers, investment banks and alternative investment firms across the world. What sets us apart is our ability to deliver global expertise with a local touch. Our team includes industry veterans, ex-regulators, and former lawyers with deep knowledge of the regulatory landscape. As active members of key industry groups, we stay ahead of trends and changes. From startups to global investment firms, Optima Partners is your trusted advisor for navigating compliance, ESG and cybersecurity.
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Optima Partners reposted this
🎉 Celebrating nearly a decade of excellence! 🎉 Join us as we reflect on the remarkable journey of Optima Partners leading up to our 10-year anniversary. Here's to the next decade of achieving greatness together! #OptimaPartners #10YearAnniversary #MilestoneMoments"
Optima Partners Weekly Newsletter September 5th, 2024 Subscribe below for weekly updates! http://eepurl.com/c8PDmz
Next Thursday, September 12th Optima Partners Founder & CEO Jonathan Saxton and Partner Adam Reback will be taking part in a discussion with leading industry veterans from WilmerHale to assess and address the Private Fund Regulatory Compliance Risk in 2025. If you are a compliance professional in the #NYC area and interested in attending, please reach out to Hap Oakley [email protected]. The event will run from 4:30 - 7:30 p.m. #SEC #USDOJ #privatefunds #compliance #investmentadvisors
📣 The DOL has updated the QPAM Exemption, requiring advisers to notify the DOL with a deadline of September 15, 2024, for those currently relying on the Exemption. For more information or assistance, please contact Optima Partners. https://lnkd.in/eexqj8p4 📧 [email protected]
Optima Partners Weekly Newsletter August 26th, 2024 Subscribe below for weekly updates! http://eepurl.com/c8PDmz
Optima Partners Weekly Newsletter August 19th, 2024 Subscribe below for weekly updates! http://eepurl.com/c8PDmz
Optima Partners reposted this
📢 SEC Takes MORE Action: $392.75 Million in Penalties for Recordkeeping Failures The SEC has charged 26 firms with widespread recordkeeping violations, resulting in a combined $392.75 million in penalties. The firms admitted that, during the relevant periods, their personnel sent and received off-channel communications that were records required to be maintained under the securities laws. As Gurbir S. Grewal, Director of the SEC’s Division of Enforcement, has advised in the past and indicated in connection with these investigations, cooperation with the SEC can reduce the fines incurred by violators: “Among this group of firms, there are several that differentiated themselves by self-reporting prior to the staff’s investigation, demonstrating once again the real benefits of proactive cooperation.” For more details on this SEC enforcement action, click here: https://lnkd.in/e68J2wgz Contact our team today to ensure your firm stays ahead of compliance risks and avoids costly penalties at [email protected]. #SEC #Compliance #Recordkeeping #FinancialRegulation #OptimaPartners
📢 SEC Takes MORE Action: $392.75 Million in Penalties for Recordkeeping Failures The SEC has charged 26 firms with widespread recordkeeping violations, resulting in a combined $392.75 million in penalties. The firms admitted that, during the relevant periods, their personnel sent and received off-channel communications that were records required to be maintained under the securities laws. As Gurbir S. Grewal, Director of the SEC’s Division of Enforcement, has advised in the past and indicated in connection with these investigations, cooperation with the SEC can reduce the fines incurred by violators: “Among this group of firms, there are several that differentiated themselves by self-reporting prior to the staff’s investigation, demonstrating once again the real benefits of proactive cooperation.” For more details on this SEC enforcement action, click here: https://lnkd.in/e68J2wgz Contact our team today to ensure your firm stays ahead of compliance risks and avoids costly penalties at [email protected]. #SEC #Compliance #Recordkeeping #FinancialRegulation #OptimaPartners
Optima Partners Weekly Newsletter August 8th, 2024 Subscribe below for weekly updates! http://eepurl.com/c8PDmz
Optima Partners reposted this
Over the past several weeks, we have been busy with our usual core compliance offerings, along with seeing a large uptick in Optima’s #Cybersecurity, #ESG and #Talent services. However, one filing that has been a keeping a select few at Optima Partners busier than usual has been the #SEC’s Form N-PX. We have created a team of specialists to assist our clients with this time-sensitive task (August 31st is fast-approaching!). Please reach out to Optima Partners’ Priyadarshini Roy, Donald Babbitt, or Timothy Reddington if you have questions. Alternatively, you can also email us at [email protected]. #SEC #compliance #FormNPX #OptimaPartners