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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.ViewCompliance and Consulting
3 Advantages of an Agreed-Upon Procedures Engagement for a Family Office
Here are three key advantages of an AUP engagement.ViewCompliance 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.ViewCompliance 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 RestrictionsViewCompliance 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.ViewCompliance 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. ViewCompliance and Consulting
A Roundup of 2023 SEC Proposals for Investment Advisors
We will provide an overview of the SEC rules becoming effective in the near future, a more detailed look at the private fund rulings, and a review of the rule relating to outsourcing services.ViewCompliance and Consulting
Industry Leaders Discuss Questions Regarding the SEC Marketing Rule
Various questions and recent changes surrounding the new SEC Marketing Rule are addressed.ViewCompliance and Consulting
SEC Announces Proposed Safeguarding Rule
On February 15, 2023, the SEC announced the release of a proposed rule, the Safeguarding Rule, which would constitute a redesignation and enhancement of the current Custody Rule.ViewCompliance and Consulting