Investment Industry Guidance


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gips compliance article

GIPS Compliance

The GIPS 2020 Exposure Draft is Out!

At a high level, the GIPS 2020 Exposure Draft reflects changes to make it more relevant for many firms in the investment industry.View
gips compliance article

GIPS Compliance

GIPS 2020 Is Coming - Let Your Voice Be Heard!

The next version of GIPS is coming. A draft is expected to be released by the end of August with a comment deadline of December 31, 2018.View

Operational Due Diligence

Why Should You Perform Operational Due Diligence When Evaluating an Investment Manager?

In order to decide if you should perform operational due diligence when evaluating an investment manager, it's important to analyze underlying risks.View
compliance and consulting article

Compliance and Consulting

Upcoming Changes to Equity Investments (ASU 2016-01)

The main impact of ASU 2016-01, which will become effective in 2018, is that changes in the value of equity investments must now be included in net income.View
gips compliance article

GIPS Compliance

Newly-Proposed Guidance Statement on Verifier Independence

The newly-proposed Guidance Statement on Verifier Independence is being issued to clarify & strengthen the guidance surrounding verifier independence.View
gips compliance article

GIPS Compliance

Newly-Proposed Guidance Statement on Risk

A newly-proposed Guidance Statement will address when & where risk-related information is recommended & required to be included in compliant presentations.View
tax strategies article

Tax Strategies

Make Sure You’re in Compliance with Foreign Asset Reporting Requirements

Maintaining foreign bank accounts can be tricky, as there are multiple reporting rules that need to be followed. The risks for failure to comply are great.View
operational due diligence article

Operational Due Diligence

The Top 5 Considerations for a Successful Fee Recalculation Project

A list of the top five items to consider when embarking on a plan to verify investment management fees, performance fees, and other expenses.View
compliance and consulting article

Compliance and Consulting

The Impact of the SEC’s Custody Clarification Guidance

The SEC recently issued three clarifications that impact whether an RIA has custody of client assets under the Custody Rule.View
cyber security

Cyber Security Services

How Comprehensive is Your Cyber Security Plan?

Companies need to make sure they have an information security plan to detect, prevent, and address security incidents in a timely and effective manner.View