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Compliance and Consulting, Operational Due Diligence
Operational Risk Under the Microscope: Applying the SEC’s 2026 Examination Priorities
The SEC’s announcement of its examination priorities for 2026 provides an opportunity to re-focus operational due diligence on investment managers.View
Compliance and Consulting
SEC Issues New Marketing Rule FAQ on Use of Model Fees
The Securities and Exchange Commission (SEC) Marketing Rule (Rule 206(4)-1) became effective in 2022. This rule left some questions in the minds of practitioners; to help clarify the rule, the SEC’s Division of Investment Management has been releasing FAQs.ViewGIPS Compliance
Kreischer Miller Exhibiting at 2025 CFA Institute GIPS® Standards Conference
November 11-12, 2025 | Chandler, AZViewCompliance and Consulting
Demystifying the GIPS® Guidance Statement for OCIO Portfolios: What You Need to Know
The CFA Institute’s release of the Guidance Statement for OCIO Portfolios marks a pivotal moment for firms managing outsourced chief investment officer (OCIO) mandates.View
2025 Annual Investment Industry Seminar
Save the date for Tuesday, October 28th for this educational investment industry seminar.ViewCompliance and Consulting
SEC’s Updated FAQs on Gross and Net Performance Under the Marketing Rule: Key Takeaways for Advisors
On March 19, 2025, the SEC updated its frequently asked questions (FAQs) addressing gross and net performance under the Marketing Rule.ViewGIPS Compliance
Thomas Peters Presenting on GIPS® Standards Guidance Statement for OCIO Portfolios
February 6, 2025 | 1:00pm - 2:00pm EST | Live WebinarView2024 Annual Investment Industry Seminar
Save the date for Wednesday, November 13th for this educational investment industry seminar.ViewGIPS Compliance
How to Prepare for a Successful GIPS Verification
This article walks you through the process, starting with understanding the GIPS Standards and concluding with the benefits of a GIPS verification.ViewCompliance and Consulting