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Investment industry news and information

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. . .


Update on 2015 PCAOB Inspection of Broker-Dealers and Areas of Focus for Upcoming Audits

Several years ago, the interim inspection program of auditors of broker-dealers was implemented due to new authority given to the Public Company Accounting Oversight Board (PCAOB) over auditors of. . .


Proposed Amendments to Books and Records Rule 204-2

The SEC recently made available the comments received on IA-4091, Amendments to Form ADV and Investment Advisers Act Rules. First, let’s revisit some specifics of the amendments, originally. . .


A Reminder of the Changes to the FASB Consolidation Model

In the first quarter of 2015, the Financial Accounting Standards Board (FASB) issued Accounting Standards Update (ASU) No 2015-02, Consolidation (Topic 810) – Amendments to the Consolidation Analysis. This ASU. . .


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