Under GIPS® standards, investment advisors can include non-fee-paying accounts in their performance composites without having to apply a model fee.
The SEC Division of Examinations (“EXAMS”) issued a Risk Alert describing EXAMS’ risk-based approach for selecting registered investment advisers to examine and determining the scope of examinations.
Takeaways from the SEC’s New Private Fund Adviser Rules – Build and Plan for Successful Implementation
The private fund regulatory landscape just got more complex with the August 23 SEC adoption of these long-awaited private fund rules, which were first proposed 18 months ago in the face of industry pushback.
The SEC Marketing Rule presents many opportunities for firms to streamline performance and composite reporting.
Now that the TSAM – the Summit for Asset Management in London – is over, it is time to look back and delve into the subject of market downturns
The SEC’s forthcoming Final Rule, requiring climate-related disclosures by US companies, is placed here in the context of recent global climate developments.
HEADS UP: SEC Division of Examinations Identifies Gaps and Signals Need for Main Office Policies and Procedures to be Applied at Branch Office Locations
The SEC Division of Examinations issued a Risk Alert on April 26, 2023, regarding weaknesses observed at branch office locations of investment advisers and broker dealers.
The SEC has adopted a final rule amending Form PF, the regulatory filing requirement mandating private fund advisers report regulatory AUM to the Financial Stability Oversight Council
Incident Reporting on the SEC’s Radar as Regulator Seeks to Mandate a Federal Breach Notification Standard
A steady increase in the threat data breaches pose to individual investors has spurred the SEC to revisit the issue of safeguarding customer information.
The notion of diversity has evolved and become significant for anyone who has been underrepresented, and women are no different. To me, embracing equity means being aware of and accountable for the reality of gender bias and avoiding the tendency to think in that vein of gender stereotypes.
Thriving in a shifting landscape means managers must create meaningful composites to ensure fair presentation, consistency, & comparability of performance