Annual Investment Industry Update

Thursday, December 5, 2013
12:00pm to 3:30pm
DoubleTree Suites
Plymouth Meeting, PA

Staying on top of the myriad of changes that impact an investment advisor’s operations can be a challenging task. This seminar will provide you with an overview of current topics and key changes impacting performance reporting, SEC compliance, and accounting & tax issues.

Join us for a robust agenda of timely topics:

GIPS Update

  • Newly-issued papers providing guidance for Policies & Procedures and Advertising
  • Impact of new Q&As issued in 2013
  • Overview of Guidance Statements and Working Group projects in process

SEC/Regulatory Update

  • SEC Enforcement’s aggressive agenda, including auditors and directors
  • Actions against compliance officers and programs
  • Recent best execution cases
  • Hedge and private equity developments, including the JOBS Act

Tax Update

  • New tax rules for investment income
  • FACTA update
  • Additional recent changes, including the impact of DOMA and the Health Care Act

Audit & Accounting Update

  • Proposed changes to the auditor model
  • New rules for broker/dealers
  • Key accounting updates impacting investment funds

Presented by Kreischer Miller and Cipperman & Company.


12:00pm – 12:45pm    Lunch and networking
12:45pm – 3:30pm      Seminar

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