
Insights

The SEC’s Valentine’s Day Gift to Asset Managers: An Extension of the Short Sale Reporting Deadline
The SEC gave asset managers a sweet surprise in the form of extra time to comply with SEC Rule 13f-2 and Form SHO filings.
- SEC
- Compliance
- Regulatory Deadlines

Case Study: Comprehensive GIPS Management and Oversight
By outsourcing the management of its GIPS standards framework, the firm achieved efficiency and scalability, allowing internal teams to focus on core investment responsibilities while mitigating the risk of falling out of compliance with the GIPS standards.
- Performance
- GIPS Standards

Fraudsters Actively Impersonating Financial Services Executives: Firms Should be on High Alert for Similar Attacks
Firm employees and executives are being actively impersonated in WhatsApp messaging scams causing significant financial harm to investors.
- Cybersecurity

Urgent Patching Required to Address 7-Zip Vulnerability
Attackers are exploiting a 7-Zip flaw to spread SmokeLoader malware, bypassing Windows security warnings via phishing. Users must manually update to version 24.09+ to stay protected.
- Cybersecurity

Case Study: Streamlining Performance Calculations and Vendor Due Diligence
Our investment performance team helped a fund of fund manager meet the SEC’s Marketing Rule requirements and provide outsourced performance calculations to help them expand into the SMA business.
- Performance
- SEC Marketing Rule

ILPA's Revised Reporting Template for the Private Equity Industry
The Institutional Limited Partners Association (ILPA) recently released a new version of the ILPA Reporting Template.
- Performance

Bridging ESG Data Gaps with Technology
The goal is for companies to provide transparent, robust, and comparable ESG data that meets the needs of all stakeholders. However, aligning ESG data with investor and regulatory expectations is a complex goal.
- ESG

Case Study: Outsourcing to Streamline IRR Calculations for Fundraising Success
Our investment performance team collaborated with a global private equity and credit manager to calculate IRRs and associated multiples required for meeting bank platform standards during fundraising.
- Performance

Regulatory Considerations for Continuation Funds
Asset managers are turning to GP-led secondary transactions, or continuation funds, to navigate high interest rates and limited liquidity. This growing practice helps manage illiquid assets but has raised SEC concerns over conflicts of interest and investor risks.
- Compliance
- SEC

From Policy to Practice: Building an Effective Firm-Wide Regulatory Surveillance Program
We’ve developed a comprehensive checklist to help you assess the effectiveness of your compliance oversight, monitoring, and surveillance programs.
- RegTech
- eComms Surveillance
- Trade Surveillance