Investment Industry Guidance
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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
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
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.ViewCompliance 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.ViewCompliance 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.ViewCompliance 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.ViewCompliance 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
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.ViewBroker 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.ViewCompliance and Consulting