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Oct 24, 2019

Unlocking your full potential and magnifying exposure to qualified investors, while staying on top of the industry

The Global Investment Performance Standards (GIPS) are a set of compliance standards administered by the CFA Institute and used by investment managers worldwide to ensure the transparent and complete disclosure of their funds’ performance. When investment firms claim compliance, investors can directly compare the performance of their funds with one another, a feature that has become a de-facto requirement during the manager selection process by institutional investors.

Sep 10, 2019

Exceed annual compliance training requirements

Over the past ten years, we’ve seen a steady increase in the frequency, rigor and complexity of regulation in the financial services space. As global financial markets grow progressively sophisticated, it can be challenging to stay current with the latest developments.

Jul 16, 2019

Is blue sky compliance like the SEC or the IRS?

All fund compliance has risen to elevated levels within fund boards, and a recent hot topic has become state compliance, also known as blue sky laws.  This is due to obvious reasons– fees and penalties. 

Apr 15, 2019

Opportunity zones evolving regulations

Under the Opportunity Zone program, investors can defer tax on any prior gains by investing them in a qualified opportunity fund.

Jan 30, 2019

From insights to interventions: How to impact medication nonadherence

When patients don't take their medication as prescribed, it can lead to adverse health outcomes and increased costs. Alarmingly, 50% of patients are nonadherent at any given time1 causing up to $300 billion in waste per year.

Aug 16, 2018

5 ways to effectively manage trust accounts with CRM

Trust companies have significant responsibility as a fiduciary for trust accounts as well as being responsible for managing and protecting the assets of the trust. Trying to find ways for improving the scalability and operating efficiency of your trust company can seem like quite the undertaking.

Aug 13, 2018

DGHM consolidates five software programs into one

In 2004, DGHM migrated to SS&C Advent’s Axys from a previous portfolio accounting system. However, as the firm grew, the asset manager decided to take advantage of an opportunity to streamline and consolidate its portfolio and account management software programs with Advent Portfolio Exchange (APX).

Aug 9, 2018

“This is not a drill”: CCOs recount their SEC exam experience

What is it like to get a call from the SEC saying they are planning to visit your firm? During our recent webinar, “CCO Speaks – Insights from Recent SEC Examinations,” two Chief Compliance Officers from two different firms, joined Focus 1 Associates’ Toby Cochran, Managing Member and President and me to answer questions like these and more.

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