"The Loop"2Q16

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Cyber Lunch N' Learn 
Join Ashland Partners for a complimentary networking luncheon as we discuss the latest trends with cyber security. 
New York | April 20 & 21 
Washington | May 24 
Boston | May 26 
Minneapolis | June 16

Ashland Partners' Educational Conference 
2-day workshop covering critical concepts of performance measurement and attribution. 
Toronto | May 9-10
Washington | Sept. 12-13 
Chicago | Nov. 15-17 


2016 GIPS Compliance Form Now Available 
The enhanced, user-friendly GIPS compliance form is now available for submission. The new form features an improved confirmation screen listing all information submitted as well as an email confirmation to facilitate firms’ recordkeeping. The deadline for firms to notify CFA Institute of their claim of compliance is 30 June 2016 with information as of 31 December 2015. 

GIPS Standards Expand to Pooled Investment Vehicles 
With more than three years in the making, the exposure draft of the Guidance Statement on Broadly Distributed Pooled Funds released 1 February 2016. Read More >>

Ashland Partners' Portal 
We at Ashland Partners are very excited to release our new secure portal.  We take the security of your information very seriously, which is why we decided to develop a secure file transfer portal internally at Ashland Partners.  Read More >> 


Invitations to register will be sent 2 weeks prior to the webinar. 

Mitigate Your Risk of Inadvertently Being Subject to the Amended Custody Rule 
Presented by Carrie Zippi, CPA 
April 27 | 2pm-3pm ET 
The amended custody rule continues to be an area of risk to many firms even if they know it or not. Join us as we learn the many pitfalls of the amended custody rule and how to avoid them. Topics include discussion of the amended custody rule requirements, enhancing compliance programs, firm policies, and internal training. 

Performance Measurement and Associated Credentials Presented by Geoff Hecht, CIPM 
May 10 | 2pm-3pm ET 
Ashland Partners will address the most common types of performance measurement methodologies as well as the CIPM, which is the professional credential most associated with our firm. 
Significant Cash Flows vs Large Cash Flows 
Presented by Joel Bernardin, CFA 
June 14 | 2pm-3pm ET 
Please join Ashland Partners for a discussion about the differences between large cash flows and significant cash flows. In addition, we will discuss temporary accounts, revaluation thresholds, and guidance statement terminology. 


8 Cyber Tools to Survive Your SEC Exam 
Cyber threats pose a significant present risk to the financial services industry in the United States. “They are first on the Division of Intelligence’s list of global threats, even surpassing terrorism” (2014). Despite this, and other statements, many financial services firms fail to comply with their cyber security obligations. Read More >> 
The Cyber Team Needs a Quarterback 
According to the Securities and Exchange Commission (2008), a firm must, “designate in writing an employee or employees to coordinate your information security program,” that has “sufficient authority and access to the institution’s managers, officers and directors to effectively implement the program and modify it as necessary” (p. 13696). This is the first, and most basic component of a cyber security program.  Read More >> 

A Sign of the Cyber Security Times 
On January 11, the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) announced their examination priorities for 2016.  As in 2014 and 2015, cyber security is one of the SEC’s exam priorities for 2016.  This year, the OCIE stated that it will target policies and procedures in investment advisor and broker-dealer firms.  Read More >> 

Your Cyber Doors and Windows 
The second component in a comprehensive cyber security program is an information/cyber risk assessment. The Securities and Exchange Commission (2008) described this component by saying that a firm must, 
“Identify in writing reasonably foreseeable security risks that could result in the unauthorized disclosure, misuse, alteration, destruction or other compromise of personal information or personal information systems”(p. 13696).  Read More >> 

The New Reality of Ransomware 
Investment firms are getting hit with ransomware right now. Many of these infections are never reported, but we know that our clients are at risk because we hear real-world stories from our client base describing ransomware attacks. Read More >>