Investment Industry Guidance
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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
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.ViewCompliance 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
GIPS Compliance
Are Your GIPS Policies and Procedures Up-To-Date in Advance of GIPS 2020?
As we draw near the December 31, 2020 adoption date for GIPS 2020, it is important for firms to review the updated standards to determine whether any changes should be made to their existing policies and procedures to remain compliant.ViewGIPS Compliance
Error Correction and Materiality Under GIPS 2020
The error correction rules for firms under GIPS 2020 seem pretty straightforward, except for one item: how to determine whether an error is material.View
Operational Due Diligence
Operational Due Diligence During a Pandemic
As COVID-19 continues to present new challenges, so too must operational due diligence professionals adapt, developing new policies and procedures to ensure non-investment risks are addressed.ViewGIPS Compliance
Hedge Funds and Private Equity Firms Unable to Participate in PPP Loan Program
Hedge funds and private equity firms will be unable to take advantage of PPP loans.ViewCompliance and Consulting
OCIE 2020 Cybersecurity and Resiliency Observations
On January 27, 2020, OCIE released a 13-page report detailing observations relating to cybersecurity and best practices.ViewCompliance and Consulting
OCIE 2020 Examination Priorities
On January 7, 2020, the SEC’s Office of Compliance Inspections and Examinations (OCIE) announced its 2020 Examination Priorities. Compliance continues to be a major focus.ViewGIPS Compliance