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Factsheet & Pitchbooks
Investment Performance
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How to address Yield in Marketing: SEC Marketing Rule
The SEC’s Marketing Rule, Rule 206-4(1), outlines specific criteria for the disclosure of “performance.” However, determining whether metrics like yield constitute “performance” under this rule seems ambiguous. Based on our experience, yield information falls into one of three categories: While SEC staff have discussed this ambiguity publicly and privately, a definitive stance on the treatment […]
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GIPS Compliance
Investment Performance
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FINRA Rule 2210: How to calculate IRR consistent with GIPS
FINRA now requires IRR to be calculated according to the GIPSĀ® Standards. But how do you calculate and present a GIPS compliant IRR?
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