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compliance and consulting article

Compliance and Consulting

Recap of Valuation Drivers in an Investment Firm Presentation

Jennifer Kreischer, Director in Kreischer Miller’s Investment Industry Group, provided insights into the key levers that investment firms can use to drive value in their businesses.View
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2023 Annual Investment Industry Seminar

Save the date for Wednesday, November 8th for this educational investment industry seminar.View
compliance and consulting article

Compliance and Consulting

Is Your Investment Management Firm Using the Right Model Fee Under the SEC Marketing Rule?

Operational Due Diligence (ODD) is a bespoke, continuous, and iterative process of assessing an investment manager’s operational risks across all public and private market asset classes.View
compliance and consulting article

Compliance and Consulting

4 Current Operational Due Diligence Challenges

Operational Due Diligence (ODD) is a bespoke, continuous, and iterative process of assessing an investment manager’s operational risks across all public and private market asset classes.View
compliance and consulting article

Compliance and Consulting

SEC Issues Trifecta of Rules and Alerts Impacting the Investment Industry

On August 23, 2023 the SEC issued a trifecta of rules and alerts that impact the investment industry, including private funds and broker-dealers.View
compliance and consulting article

Compliance and Consulting

3 Advantages of an Agreed-Upon Procedures Engagement for a Family Office

Here are three key advantages of an AUP engagement.View
compliance and consulting article

Compliance and Consulting

What Makes a Good Auditor and How to Know if They're Helping You Stay in Compliance

Having a competent auditor who can provide an objective and comprehensive review of your financial records and systems is essential for compliance in your business.View
compliance and consulting article

Compliance and Consulting

An Update on Fair Value Guidance for Equity Securities

Here is an update on Fair Value Guidance: ASU 2022-03 Fair Value Measurements of Equity Securities Subject to Contractual Sale RestrictionsView
compliance and consulting article

Compliance and Consulting, GIPS Compliance

Recent GIPS and Performance Reporting Developments

We will provide a GIPS update centered on current projects, available resources, recently issued Q&A’s, and the results of an industry survey on the calculation and presentation of net returns.View
compliance and consulting article

Compliance and Consulting

SEC’s Proposed Safeguarding Rule – A Reconstitution of the Custody Rule as we know it

On February 15, 2023 the U.S. Securities and Exchange Commission (SEC) proposed new rules and amendments to the Investment Advisors Act of 1940 directed at the current Custody Rule and designed to address how investment advisors safeguard client assets. View

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