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  • 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.
  • Sep 28 2022
    Kim Cash

    Exploring and Documenting Consistent Calculation Methodologies

    Exploring and Documenting Consistent Investment Performance Calculation Methodologies When trying to understand the limits of the SEC Marketing Rules requirements for consistent related account performance calculation methodologies, advice circulating that Read More Here.
  • Jul 26 2022
    Kim Cash

    SEC Marketing Rule – Hypothetical & Extracted Performance

    Hypothetical performance and extracted performance are a key point in the SEC Marketing Rule set to take effect on November 4, 2022.  Firms that have previously used model, targeted, projected, Read More Here.
  • Jul 11 2022
    Kim Cash

    SEC Marketing Rule – Prescribed Time Periods

    The modernization of the SEC Marketing Rule has firms hard at work to comply with new requirements related to the presentation of performance. One of these requirements is referred to Read More Here.
  • Jun 06 2022
    Kim Cash

    Want to Show Performance and Not GIPS-Compliant?

    The SEC Marketing Rule will require SEC-registered firms to have policies and procedures in place be able to show performance in marketing materials after November 4, 2022. For firms not Read More Here.
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