Views on improving the integrity of global capital markets

GIPS Standards Annual Conference

The 21st Annual GIPS Standards Conference will be held 14–15 September 2017 in San Diego, California. The event is focused on the implementation and application of the Global Investment Performance (GIPS) standards. Subject experts share best practices and speak to the key issues and major developments in setting the standards of investment performance measurement and reporting that are reliable and comparable across markets. This conference is essential for any investment performance or compliance professional. And this year, we are celebrating the 30th anniversary of the GIPS standards.


CFA Institute Asset Manager Code Gives Firms Head Start on Operational Due Diligence

Thorough, independent operational due diligence provides investors with a review of investment firms’ operational standards and the ethical conduct of its managers.

CFA Institute Asset Manager Code: New Compliance Platform and Annual Notification

In a continuing effort to build market integrity, CFA Institute has made it easier and more efficient to adopt the Asset Manager Code. It will also begin requiring annual notification of compliance.

Office of Compliance Inspections and Examinations—Eyes and Ears of the SEC

The OCIE at the SEC takes a transparent, risk-based, and data driven approach in examining whether registered firms are complying with SEC rules and regulations.

FINRA’s Role in Regulating Financial Services Advertising: Challenge of Social Media

FINRA’s Advertising Regulation Department is tasked with reviewing firms’ communications and faces challenges in keeping up with the changes social media has brought to the arena.

The Long-Awaited Pooled Fund Guidance Statement Nearing Release

In a step toward being relevant for all investment vehicles and in response to requests from the industry, new guidance on applying the GIPS® standards to pooled funds will be available soon.

The Evolution of the GIPS Standards: Introducing GIPS 20/20

GIPS 20:20 is the next update of the GIPS standards and the focus is on ensuring that the Standards are relevant for all asset classes and types of asset managers.

The Four Toughest Questions Facing the Evolution of the GIPS Standards

The ever changing investment management industry means the GIPS standards also have to evolve to remain relevant and continue to provide maximum value.

The GIPS Standards and Alternatives: CalPERS Takes Notice, Others Likely to Follow

As alternative investment strategies become mainstream, complying with the GIPS standards will help alternatives managers stand out from the crowd.

Understanding Investor Behavior and Managing Risk (Video)

Dan diBartolomeo discusses behavioral aspects of risk in financial markets, including how individual behavior shapes the way industry deals with risk and common risk measures that are potentially useful but often misunderstood.

Investment Risk and Fees: Annual GIPS Conference Highlights

Experts who share best practices and speak to key issues and major developments in the performance measurement field make this conference essential for any performance or compliance professional.

Errors Can Happen: How to Deal with Them As a GIPS-Compliant Firm

CFA Institute survey reveals how GIPS-compliant firms are identifying and dealing with errors in compliant presentations.

Overview of Top 10 GIPS Compliance Issues Ends with a KISS

Topping the list of GIPS standards compliance problems: inadequate documentation of policies and procedures.

SEC to Investment Firms: ‘Stakes High to Get GIPS Compliance Right’ (Video)

SEC’s Bowden: False claims of GIPS compliance, verification, and performance can lead to civil & criminal penalties.

Have the GIPS Standards Reached an Inflection Point?

The investment industry may be headed toward a future where GIPS-compliant presentations are seen more frequently than noncompliant ones.



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