Investment Industry Guidance


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compliance and consulting article

Compliance 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.View
compliance and consulting article

Compliance 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.View
gips compliance article

GIPS Compliance

GIPS 2020 Changes Carve-Out Standards

With the release of GIPS 2020 came another change to the standards on carve-outs, marking the second time in which the guidance has changed.View
gips compliance article

GIPS Compliance

The Impact of GIPS 2020 on Pooled Fund Managers

One of the most extensive changes from prior GIPS versions is the treatment of pooled investment funds. Here are four key changes impacting firms that manage pooled vehicles.View
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