Securities & Exchange Commission Archives

Something smells, and it isn’t sweet perfume: questionable past performance

by David Spaulding | Jun 6, 2017 | past performance, GIPS, Global Investment Performance Standards, Investment Performance Guy, SEC, Securities & Exchange Commission

First, in the spirit of full disclosure … The source for this post is one of our GIPS verification clients. They reached out today, alerting me of what they believed was misleading information as reported by Barron’s. After some discussion and a bit of...

Is the SEC’s recent F-Squared enforcement a “wake up call” to the investment industry?

by David Spaulding | Nov 11, 2016 | SEC, GIPS, Investment Performance Guy, Securities & Exchange Commission

F-Squared Enforcement by the Securities & Exchange Commission Perhaps you’ve never heard of F-Squared. The only reason I knew the name was because a few years ago, we were asked by a new advisor to help them become GIPS® compliant. They were going to...