Flash Reports


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, was appointed Chair of the CFA Institute’s United States Investment Performance Committee (USIPC).   Greta will work alongside a group [...]

2021-09-16T08:36:16-05:00 September 1st, 2021|Flash Reports, News|

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 trends continue to evolve. Some focus areas, like cybersecurity and business continuity, are more relevant than ever with the changes [...]

2021-07-22T12:59:55-05:00 July 22nd, 2021|Articles, Flash Reports, News|

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 website. The adviser also had referral relationships with bloggers but did not make required investor disclosures about these connections. The [...]

2021-06-24T11:49:18-05:00 June 24th, 2021|Flash Reports, GIPS®, News|

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 of compliance annually by June 30. The required information is minimal, including: Primary and secondary contact details. Firm or asset [...]

2021-06-02T09:48:20-05:00 June 2nd, 2021|Articles, Flash Reports, GIPS®, News|

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 (ESG) investing. With these investment products increasing in popularity across capital markets, the SEC is expanding efforts to provide advisers [...]

2021-04-20T16:03:14-05:00 April 13th, 2021|Articles, Flash Reports, News|

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 composite and pooled fund. This information must be presented in the firm’s GIPS Reports. Benchmarks are used as a reference [...]

2021-04-09T08:17:01-05:00 April 8th, 2021|Articles, Flash Reports, GIPS®, News|

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 published in the Federal Register, setting in motion a series of regulatory requirements for investment advisers. The move to officially [...]

2021-03-09T15:31:47-05:00 March 9th, 2021|Articles, Flash Reports, News|

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 compliance with the standards becomes more essential in building business partnerships and preparing for the future of capital markets, more [...]

2021-03-02T11:18:38-05:00 February 26th, 2021|Articles, Flash Reports, GIPS®, News|