Our Thinking

Investor Security, Cyber Threats and WORM Storage

Exponential volumes of sensitive financial data are stored electronically and cybersecurity threats are among the more significant risks faced by firms. Because of this, industry regulators will maintain their heightened focus on cyber security. And one rule that will remain top of mind during regulatory exams is the Securities and Exchange Commission (SEC) Rule 17a-4. Many firms aren’t as compliant with the rule as they think. This has left them unknowingly exposed to potential reputational risk and regulatory fines.

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The Importance of High-Quality Data

Every day registered investment advisors (RIAs) and financial advisors are helping investors make decisions about their financial lives: What colleges can I afford to send my kids? Will I be able to retire financially independent? How much risk should I take to reach my financial goals? Data is required to answer these questions, and is vital to help RIAs make decisions that will have significant implications for the future of an investor. But without high-quality data, the decisions made may be imperfect or even suspect.

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Discussing Risk With Investors: A Fresh Look

There is a common perception that the average investor cannot understand risk. However, it seems as investment professionals get to know their clients, the more value they see in discussing the topic. If investment and portfolio risk is presented simply, most investors will understand. Investment professionals who understand this can retain and increase their business.

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The Myths of GIPS®: Money-Weighted Returns for Client Performance Reporting

When measuring performance, results can differ depending on whether money-weighting or time-weighting is used. The time-weighted Global Investment Performance Standards (GIPS) are often viewed as an industry best practice. As a result, GIPS are often applied to all business models. However, money-weighting may actually be the more appropriate way to accurately measure performance.

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