GIPS® Advertising Guidelines for Firms
GIPS® Advertising Guidelines for Firms Firms claiming compliance with the 2020 edition of the Global Investment Performance Standards (GIPS®) have two options for communicating their claim of compliance. One of which is [...]
Nine Things to Notice: SEC Examiners’ Focus Areas
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
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
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
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
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
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 [...]
CFA Institute’s Online Resources for Firms Claiming Compliance with the 2020 GIPS® Standards
CFA Institute’s Online Resources for Firms Claiming Compliance with the 2020 GIPS® Standards CFA Institute’s website has a great list of resources for firms claiming compliance with the Global Investment Performance [...]
GIPS® Standards Provisions Specifically Tailored to Asset Owners
GIPS® Standards Provisions Specifically Tailored to Asset Owners Asset owners have always been able to claim compliance with the Global Investment Performance Standards (GIPS®) if they have discretion over their assets. [...]
What is a GIPS® Standards Verification for an Asset Owner?
What is a GIPS® Standards Verification for an Asset Owner? Verification is a process by which an independent verifier conducts testing of an asset owner on an asset owner-wide basis in [...]
What is a GIPS® Standards Verification for Firms?
What is a GIPS® Standards Verification for Firms? Verification is a process by which an independent verifier conducts testing of a firm on a firm-wide basis in accordance with the [...]
SEC Proposes Changes to Advertising and Solicitation Rules
SEC Proposes Changes to Advertising and Solicitation Rules WHAT HAPPENED? On Nov. 4, 2019, the Securities and Exchange Commission released proposed amendments intended to modernize the advertising and solicitation rules under [...]