Investment Industry Guidance
Search and Filter Investment Industry Guidance Articles
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.ViewGIPS 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
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.ViewGIPS 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.ViewGIPS 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
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
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.ViewCompliance 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 Services