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Keeping you informed of industry updates
Nine Things to Notice: SEC Examiners’ Focus Areas WHAT HAPPENED? As capital markets shift and the risks to market participants change, so do the focus areas of routine SEC [...]
LIBOR Transition Compliance Risks WHAT HAPPENED? On June 18, 2020, the Office of Compliance Inspections and Examinations of the United States Securities and Exchange Commission (OCIE) announced an exam [...]
Value of the GIPS® Standards The Global Investment Performance Standards (GIPS®) are a voluntary set of principles based on fair representation and full disclosure. There are many benefits of being complaint with [...]
Updates to GIPS Reports in Response COVID-19 Firms claiming compliance with the Global Investment Performance Standards (GIPS®) are required to submit an annual GIPS Report for distribution to prospective clients and [...]
Reminder: Annual GIPS® Notification Renewal Due June 30, 2020 Firms and asset owners claiming compliance with the Global Investment Performance Standards (GIPS®) are required to notify CFA Institute of their claim [...]
How GIPS® Compliance Can Help Grow AUM The Global Investment Performance Standards (GIPS®) are voluntary ethical standards for calculating and presenting investment performance based on the principles of fair representation and [...]