Investment Industry Guidance
Search and Filter Investment Industry Guidance Articles
![compliance and consulting article](https://www.kmiig.com/wp-content/uploads/compliance-and-consulting.jpg)
Compliance and Consulting
The Court’s decision was based on arguments that the SEC exceeded its statutory authority, and the rule would impose undue regulatory burdens and costs.
View![compliance and consulting article](https://www.kmiig.com/wp-content/uploads/compliance-and-consulting.jpg)
Compliance and Consulting
Jennifer Kreischer, Director in Kreischer Miller’s Investment Industry Group, provided insights into the key levers that investment firms can use to drive value in their businesses.
View![compliance and consulting article](https://www.kmiig.com/wp-content/uploads/compliance-and-consulting.jpg)
Compliance and Consulting
Operational Due Diligence (ODD) is a bespoke, continuous, and iterative process of assessing an investment manager’s operational risks across all public and private market asset classes.
View![compliance and consulting article](https://www.kmiig.com/wp-content/uploads/compliance-and-consulting.jpg)
Compliance and Consulting
Operational Due Diligence (ODD) is a bespoke, continuous, and iterative process of assessing an investment manager’s operational risks across all public and private market asset classes.
View![compliance and consulting article](https://www.kmiig.com/wp-content/uploads/compliance-and-consulting.jpg)
Compliance and Consulting
On August 23, 2023 the SEC issued a trifecta of rules and alerts that impact the investment industry, including private funds and broker-dealers.
View![compliance and consulting article](https://www.kmiig.com/wp-content/uploads/compliance-and-consulting.jpg)
Compliance and Consulting
Here are three key advantages of an AUP engagement.
View![compliance and consulting article](https://www.kmiig.com/wp-content/uploads/compliance-and-consulting.jpg)
Compliance and Consulting
Having a competent auditor who can provide an objective and comprehensive review of your financial records and systems is essential for compliance in your business.
View![compliance and consulting article](https://www.kmiig.com/wp-content/uploads/compliance-and-consulting.jpg)
Compliance and Consulting
Here is an update on Fair Value Guidance: ASU 2022-03 Fair Value Measurements of Equity Securities Subject to Contractual Sale Restrictions
View![compliance and consulting article](https://www.kmiig.com/wp-content/uploads/compliance-and-consulting.jpg)
Compliance and Consulting, GIPS Compliance
We will provide a GIPS update centered on current projects, available resources, recently issued Q&A’s, and the results of an industry survey on the calculation and presentation of net returns.
View![compliance and consulting article](https://www.kmiig.com/wp-content/uploads/compliance-and-consulting.jpg)
Compliance and Consulting
On February 15, 2023 the U.S. Securities and Exchange Commission (SEC) proposed new rules and amendments to the Investment Advisors Act of 1940 directed at the current Custody Rule and designed to address how investment advisors safeguard client assets.
View