FINRA is proposing a change to its “Communications with the Public” rule that could let its broker-dealer members send out performance projections or targets about private securities, asset allocations, and other investment strategies. While the move represents an easing of past prohibitions, firms will still be subject to the “stringent conditions” of the self-regulatory organization… Read More >>
Navigating GIPS, SEC & ESG Rules: Q&A with Confluence
(Regulatory and industry standards compliance concerns are hitting home for many securities firms, and Kate Maryniak, head of product management for Revolution at Confluence Technologies, spoke with FTF News about them in the second half of our recent Q&A. Maryniak, who originally joined StatPro in 2001, has served in many client-facing roles to help deliver… Read More >>
State Street & Spaulding Partner for GIPS Compliance
Partnership Targets Performance Measurement State Street is partnering with the Spaulding Group to offer performance services and operational support to asset owners that want to streamline Global Investment Performance Standards (GIPS) compliance, officials say. An investment performance measurement services provider, Spaulding offers educational, consulting, and verification capabilities that will be combined with State Street’s performance… Read More >>
