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.

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.

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.

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.

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.

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.