Investment Industry Guidance
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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
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
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.ViewCompliance 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.ViewCompliance 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.ViewCompliance 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.ViewCompliance 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
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.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