Investment Industry Guidance
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Compliance and Consulting
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.
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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.
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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.
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On August 23, 2023 the SEC issued a trifecta of rules and alerts that impact the investment industry, including private funds and broker-dealers.
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Here are three key advantages of an AUP engagement.
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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.
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Here is an update on Fair Value Guidance: ASU 2022-03 Fair Value Measurements of Equity Securities Subject to Contractual Sale Restrictions
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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.
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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.
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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.
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