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compliance and consulting article

GIPS 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.View
compliance and consulting article

Compliance and Consulting

CFA Institute Releases Survey on SEC Marketing Compliance Rule Practices

The survey aimed to gain an understanding of current practices among industry participants as it relates to certain performance requirements under the SEC Marketing Rule that have been the source of some confusion.View
compliance and consulting article

Compliance and Consulting

Fifth Circuit Court Vacates SEC's Private Fund Advisers Rule

The Court’s decision was based on arguments that the SEC exceeded its statutory authority, and the rule would impose undue regulatory burdens and costs.View
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

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