Thursday, December 5, 2013
12:00pm to 3:30pm
DoubleTree Suites
Plymouth Meeting, PA
Staying on top of the myriad of changes that impact an investment advisor’s operations can be a challenging task. This seminar will provide you with an overview of current topics and key changes impacting performance reporting, SEC compliance, and accounting & tax issues.
Join us for a robust agenda of timely topics:
GIPS Update
- Newly-issued papers providing guidance for Policies & Procedures and Advertising
- Impact of new Q&As issued in 2013
- Overview of Guidance Statements and Working Group projects in process
SEC/Regulatory Update
- SEC Enforcement’s aggressive agenda, including auditors and directors
- Actions against compliance officers and programs
- Recent best execution cases
- Hedge and private equity developments, including the JOBS Act
Tax Update
- New tax rules for investment income
- FACTA update
- Additional recent changes, including the impact of DOMA and the Health Care Act
Audit & Accounting Update
- Proposed changes to the auditor model
- New rules for broker/dealers
- Key accounting updates impacting investment funds
Presented by Kreischer Miller and Cipperman & Company.
Agenda:
12:00pm – 12:45pm Lunch and networking
12:45pm – 3:30pm Seminar