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.
More directly, ODD aims to arm investors with the information they need to answer fundamental questions, such as 1) are my assets safeguarded…more
A family office – a private wealth management firm set up to manage one or more high-net-worth families’ investment and financial needs – is typically responsible for personalized investment management services. This may include managing a diversified set of securities, including funds, across a variety of asset classes. Investment objectives…more
As a business owner, you understand the importance of complying with relevant laws, regulations, and standards. Whether it is financial reporting requirements or industry-specific regulations, maintaining compliance is crucial to avoid unnecessary headaches and costly penalties.
Having a competent auditor who can provide an objective and comprehensive review of…more
Kreischer Miller recently held its annual investment industry update, which covered a host of topics including the latest updates on GIPS, the SEC Marketing Rule, fair value guidance, taxes, and compliance, as well as a discussion on valuation drivers in an investment firm.
Todd Crouthamel and Craig Evans, Directors in…more
Kreischer Miller recently held its annual investment industry update, which covered a variety of topics including an update on GIPS and performance reporting. The key topics of the GIPS update centered on current projects, available resources, recently issued Q&A’s, and the results of an industry survey on…more
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.
First and foremost, the Custody Rule as we know it…more
We recently held our annual investment industry update, which covered a host of topics including the latest updates on GIPS, the SEC Marketing Rule, fair value guidance, taxes, and compliance, as well as a discussion on valuation drivers in an investment firm.
During one of the sessions, John Canning, Director…more
Kreischer Miller recently held its annual investment industry update, which covered a host of topics including the latest updates on GIPS, the SEC Marketing Rule, fair value guidance, taxes, and compliance, as well as a discussion on valuation drivers in an investment firm.
During the event, Thomas Peters, Director of…more
On February 15, 2023, the SEC announced the release of a proposed rule, the Safeguarding Rule, which would constitute a redesignation and enhancement of the current Custody Rule as we know it.
We are in the process of evaluating and summarizing the 434 page proposal, but if you’d like…more
We recently held our annual investment industry update which covered a host of topics including the latest updates on GIPS, the SEC Marketing Rule, fair value guidance, taxes, and compliance. The event also included a discussion on valuation drivers in an investment firm. Jennifer Kreischer, M&A Advisory Consultant…more