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Performance (40)
Your search for Performance returned 40 results.
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8/29/2019 | Content area: Private Fund
It appears that Brenda Smith had a broad reach into the pockets of her hedge fund investors.  The SEC has charged Smith, her hedge fund Broad Reach Ca...
7/05/2019 | Content area: Investment Adviser
They’ve been years in the making and are a once-a-decade development (IA Watch, May 25, 2017). The CFA Institute June 30 released its Global Investmen...
2/14/2019 | Content area: Investment Adviser
For the first time in two years, OCIE’s 2019 exam priorities letter didn’t call out robo-advisers as a key focus (IA Watch, Jan. 2, 2019). But does th...
8/31/2018 | Content area: Investment Adviser
MFS also falsely claimed that the hypothetical portfolio was based on MFS’s own quantitative stock ratings dating back to the mid-1990s, even though b...
6/28/2018 | Content area: Investment Adviser
As a financial planner with 40 years in the business, Ray Lucia believed he was on track for his own comfortable retirement as he hit 60.   “I had it ...
11/03/2017 | Content area: Investment Adviser
Most of the $35 million the now-bankrupt RIA F-Squared Investments paid in an SEC settlement represented “disgorgement” – or punishment for how invest...
10/12/2017 | Content area: Investment Adviser
Nearly three years after the SEC charged Howard Present, CEO of the ill-fated advisory firm F-Squared Investments, a federal jury has found Present li...
5/25/2017 | Content area: Investment Adviser
Big picture changes to the GIPS standards are being contemplated by the CFA Institute. The institute would like to see you weigh in on its recently re...
5/04/2017 | Content area: Broker-Dealer
Your peers have cheered a proposal from FINRA to provide a new exception to the prohibition on projecting performance – and are urging regulators to a...
3/09/2017 | Content area: Investment Adviser
This week, the CFA Institute’s executive body will weigh a proposal to change the GIPS’ rules to accept a mutual fund’s existing regulatory disclosure...
3/02/2017 | Content area: Investment Adviser
For the industry, the echoes of the F-Squared enforcement cases vibrate like a scream bouncing off a canyon’s walls (IA Watch, Sept. 1, 2016). The ine...
1/26/2017 | Content area: Investment Adviser
Acing a test. Winning a game. Picking a great stock.   Who’s beyond a little boasting when one succeeds?   As tempting as this can be when it comes to...
1/06/2017 | Content area: Investment Adviser
This is a section of the SEC Form N1-a, which is used by mutual funds. This particular section, on the calculation of performance data, has been cited...
8/25/2016 | Content area: Investment Adviser
The SEC has adopted amendments to Form ADV and the Advisers Act books and records rule in a bid to provide investors and the Commission itself with a ...
12/03/2015 | Content area: Investment Adviser
A failure to disclose “with sufficient prominence and detail” that its investment strategy’s advertised performance was hypothetical rather than actua...
11/19/2015 | Content area: Investment Adviser
The fallout from the F-Squared Investments case from late last year carries on. The then-largest marketer of index products using ETFs filed for Chapt...
10/08/2015 | Content area: Investment Adviser
SEC Commissioner Daniel Gallagher has gone out swinging.  The commissioner, no stranger to voicing strong stances on various issues, joined his fellow...
1/22/2015 | Content area: Investment Adviser | Private Fund
Here’s the scenario: Your firm hires a new portfolio manager whose history makes him look like the Wall Street version of a titan. The marketers can’t...
10/29/2014 | Content area: Private Fund
The U.S. Securities and Exchange Commission is examining how private equity firms report a key metric of their past performance when they market new f...
2/22/2010 | Content area: Investment Adviser
Firms that are GIPS compliant will have to disclose the volatility within a composite, their policies around valuation and whether their compliance ha...


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