investment industry guidance

Investment industry news and information

The Impact of the SEC’s Custody Clarification Guidance

The Division of Investment Management (DIM) of the U.S. Securities and Exchange Commission (SEC) recently issued three different clarifications that have an impact on whether a registered investment adviser. . .


GIPS Guidance Statement on Broadly Distributed Pooled Funds

Provision 0.A.9 of the GIPS Standards requires that firms make every reasonable effort to provide a compliant presentation to all prospective clients. A prospective client is defined as. . .


Managing Tech in the Broker-Dealer Industry

Customer service is key in driving the growth of business. In the highly-regulated broker-dealer industry, a focus on better customer service is often the distinction between competing firms. . .


Cyber Security and the Investment Industry

Cyber security has been a buzzword in business for a number of years. It is especially buzzworthy in the investment industry, where investor protection is of paramount importance.

The New. . .


The Securities and Exchange Commission Shortens Settlement Cycle

On March 22, 2017, the Securities and Exchange Commission (SEC) adopted an amendment to shorten the standard settlement cycle by one business day. Before this amendment, the execution, confirmation, clearance. . .


Newly-Adopted SEC Amendments Require Increased Recordkeeping Obligations for Investment Advisers

On August 25, 2016, the Securities and Exchange Commission (SEC) issued Release No. IA-4509 which adopted amendments that impact Form ADV requirements and various Investment Advisers Act rules. These. . .


Recently-Proposed SEC Rule Regarding Business Continuity and Transition Plans to Address Operational Risks

On June 28, 2016, the Securities and Exchange Commission (SEC) proposed a rule that would require all SEC-registered investment advisers to adopt and implement written business continuity and transition. . .


June 30 Deadline to Submit GIPS Compliance Form

The deadline for registering your firm’s GIPS compliance is fast approaching.

Effective January 1, 2015, all firms claiming compliance with the Global Investment Performance Standards (GIPS®) are required to. . .


Newly Proposed GIPS Guidance Statement on Broadly Distributed Pooled Funds


The GIPS Technical Committee is seeking comments on a newly proposed Guidance Statement. The purpose of the Guidance Statement is to address applying the GIPS Standards® to broadly-distributed. . .


Proposed Update to Fair Value Disclosure Requirements

In December 2015, the Financial Accounting Standards Board (FASB) issued a proposed Accounting Standards Update, Fair Value Measurement (Topic 820): Disclosure Framework—Changes to the Disclosure Requirements for Fair Value. . .


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