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  • Sep 26 2023
    Kim Cash

    Hypothetical Performance Risk Alerts

    As long as you haven’t been living under a rock for the past year, you may have heard that a modernized Securities and Exchange Commission (SEC) Marketing Rule went into Read More Here.
  • Jul 24 2023
    Janice Kitzman

    Roads? Where we’re going, we don’t need roads!

    The title of this blog is a quote from the 1985 film Back to the Future.  Marty McFly and Doc are in a car on the street, and Marty doubts Read More Here.
  • Jun 14 2023
    Kim Cash

    A Summer Must-Read: the Latest SEC Risk Alert on the Marketing Rule

    The June 8 SEC Risk Alert isn’t a window into findings-to-date, nor a much-anticipated list of best practices offering clarification.  It is a solid overview of areas at your firm Read More Here.
  • Apr 18 2023
    Janice Kitzman

    From Team Performance to Investment Returns: Ted Lasso and GIPS Standards

    What do the GIPS Standards and Ted Lasso have in common? The third season of Ted Lasso began in March 2023. For those that have not seen the show, it Read More Here.
  • Mar 15 2023
    Kim Cash

    ESG Disclosure Standards

    In February 2023, CFA Institute released third-party assurance standards for firms claiming compliance with its Global ESG Disclosure Standards for Investment Products (the “Standards”).  As controversy over the proposed SEC Read More Here.
  • Jan 24 2023
    Kim Cash

    Year-End Marketing Material Updates

    And a new FAQ from the SEC RIAs across the country are preparing year-end 2022 performance presentations, and for most GIPS compliant firms, it’s time to update annual performance on Read More Here.
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