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The SEC's Marketing Rule: Open Issues and Looming Sweep Exams

More than a month has passed since the 4 November compliance date for the Securities and Exchange Commission’s (SEC) Modernized Marketing Rule for Investment Advisers (the Marketing Rule or the Rule), and many in the industry...more

GIPS 2020 Exposure Draft: What You Need to Know

AGENDA - Overview of GIPS Standards - Goals of CFA Institute for GIPS 2020 Exposure Draft - Proposed Material Changes to GIPS Standards - Impact of GIPS 2020 Proposals on Market Participants - ...more

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