Performance Practice Leader of Fairview Appointed Chair of CFA Institute’s United States Investment Performance Committee
Performance Practice Leader of Fairview Appointed Chair of CFA Institute’s United States Investment Performance Committee We are pleased to announce that Fairview Performance Service’s Vice President and Performance Practice Leader, Greta Nathan, [...]
The SEC’s Latest Exam and Request List Trends
The SEC’s Latest Exam and Request List Trends WHAT HAPPENED? With new SEC leadership in place, including Chairman Gary Gensler and Director of Enforcement Gurbir Grewal, the Commission’s examination [...]
Inaccurate Performance Information Leads to SEC Charges
Inaccurate Performance Information Leads to SEC Charges WHAT HAPPENED? The SEC recently settled with a registered investment adviser that posted false statements and misleading performance data on its public [...]
Annual GIPS® Notification Renewal Due June 30, 2021
Annual GIPS Notification Renewal Due June 30, 2021 Firms and asset owners claiming compliance with the Global Investment Performance Standards (GIPS®) are required to notify CFA Institute of their claim [...]
FBI Investigates Asset Owner’s Returns
FBI Investigates Asset Owner’s Returns WHAT HAPPENED? A Pennsylvania pension fund is caught in a legal inquiry from the FBI that led to an investigation. The trouble began when [...]
NSCP Currents: Key Checklists for Implementing and Maintaining GIPS Compliance
NSCP Currents: Key Checklists for Implementing and Maintaining GIPS Compliance
SEC Exam Observations: ESG Investing Risks
SEC Exam Observations: ESG Investing Risks WHAT HAPPENED? Recently, the U.S. Securities and Exchange Commission released a Risk Alert outlining specific compliance concerns associated with environmental, social, and governance [...]
10 Takeaways From CFA Institute’s Guidance on Benchmarks for Firms
10 Takeaways From CFA Institute’s Guidance on Benchmarks for Firms The 2020 Global Investment Performance Standards (GIPS®) require firms to choose an appropriate total return benchmark, when available, for every [...]
UPDATE: The SEC’s Marketing Rule is Officially Published – What Now?
UPDATE: The SEC’s Marketing Rule is Officially Published – What Now? WHAT HAPPENED? On Friday, March 5, 2021, the U.S. Securities and Exchange Commission’s highly anticipated Marketing Rule was [...]
GIPS® Standards Case Study: One Asset Owner’s Efforts to Attain Compliance
GIPS® Standards Case Study: One Asset Owner’s Efforts to Attain Compliance Asset owners are a growing faction of entities seeking to attain compliance with the Global Investment Performance Standards (GIPS®). As [...]
The SEC’s New Marketing Rule: Here’s What You Should Know Now
The SEC’s New Marketing Rule: Here’s What You Should Know Now WHAT HAPPENED? On Dec. 22, 2020, the U.S. Securities and Exchange Commission unanimously voted to pass proposed amendments to [...]
OCIE Risk Alert: common compliance program issues
OCIE Risk Alert: common compliance program issues WHAT HAPPENED? On Nov. 19, 2020, the Office of Compliance Inspections and Examinations of the U.S. Securities and Exchange Commission (OCIE) released [...]