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compliance and consulting article

Compliance and Consulting

SEC's New Transparency Rules Target Private Fund Advisors

Two of the SEC's newly proposed rules target private fund advisors and include the Private Fund Audit Rule, Quarterly Statement Rule, Advisor-Led Secondaries Rule, Preferential Treatment Rule, and Prohibited Activities Rule.View
tax strategies article

Tax Strategies

What You Need to Know About the New Schedules K-2 and K-3

With the 2021 tax filing season well underway, there has been uncertainty and controversy surrounding the IRS’s new schedules K-2 and K-3.View
gips compliance article

GIPS Compliance

Beware of the SEC When It Comes to GIPS Claims of Compliance

While the SEC didn't develop the GIPS Standards, it will take action against investment advisors that falsely claim compliance or omit key disclosures.View
compliance and consulting article

Compliance and Consulting

Recent SEC Rule Proposal Changes and Additions

On February 9, 2022, the SEC proposed new rules and amendments that will have an impact on investment advisors, funds, and what is received by certain investors.View
compliance and consulting article

Compliance and Consulting

Risk Alert from Examinations of Private Fund Advisors

On June 23, 2020, the SEC’s Divisions of Examinations published a Risk Alert detailing observations of registered investment advisors that manage private funds.View
compliance and consulting article

Compliance and Consulting

SEC Proposes Private Fund Reporting Changes

On January 26, 2022 the SEC proposed amendments to Form PF which would require reporting of certain events as well as lower the threshold for large private equity advisers.View
compliance and consulting article

Compliance and Consulting

H.R.4620: What Family Offices Should Know about The Family Office Regulation Act of 2021

Learn what family offices should know about H.R. 4620, which was recently introduced by NY Congresswoman Alexandria Ocasio-Cortez.View
cyber security services

Compliance and Consulting, Cyber Security Services

Beware Phony FINRA Phishing Schemes

There has been a recent wave of cybercriminals impersonating the Financial Industry Regulatory Authority (FINRA) with phishing emails.View
compliance and consulting article

Broker Dealer Audits, Compliance and Consulting

Certain Smaller Broker-Dealers Have Opportunity to Extend Filing Deadline of Annual Reports

On February 12, 2021, the SEC issued an order that extends the filing deadline for annual audit and related reports an additional 30 days for smaller broker-dealers that meet certain conditions.View
compliance and consulting article

Compliance and Consulting

SEC Modernizes the Accredited Investor Definition

On August 26, 2020, the SEC adopted amendments to its "accredited investor" definition in an effort to expand investment opportunities while maintaining appropriate investor protections.View