The CCO’s Guide to the GIPS Standards: Essentials for Understanding and Mitigating Risk
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The Survey Summary provides a download of the vendor profile, solution profile and the VendorMatch Discovery survey vendor responses used to power the directory. All responses are provided by the vendor online.
Note that this report is a high level summary of the vendor's credentials and a solution's capabilities designed to assist with solution short-listing. The RFX report is the more comprehensive Request For Information report designed to support evaluation and selection, this will only show where the vendor has completed the "RFX" RFI.
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The RFX report is an XLS download of the Vendors response to the “RFX” Request for Information for this solution.
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Note to protect vendor that only Financial Institutions and recognized Advisor can subscribe to this feature.
In each instance the first time the link is used the user requests permission to access the RFX report and it is the vendor who is required to authorizes access. You will be alerted when the vendor has reviewed your request and granted permission.
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24 November 2015
United States
ACA Performance Services is pleased to release its white paper, The CCO’s Guide to the GIPS Standards: Essentials for Understanding and Mitigating Risk. In recent years, SEC examiners have been paying closer attention to claims of GIPS compliance, reviewing them with increasing frequency and scrutiny. The white paper is intended to highlight the concerns that compliance officers should monitor closely. A regular program review will help ensure a firm’s claim of compliance is reasonable and sound, ultimately mitigating the regulatory risks of claiming compliance with the GIPS standards.
A complimentary webcast discussing the white paper will be held on November 12, 2015. Please click here to register.
Why read the white paper?
- To understand the importance of CCO involvement in the GIPS compliance process given the SEC’s continued focus on performance marketing and advertising
- To learn oversight techniques that mitigate risks associated with these compliance fundamentals:
- Policies and procedures
- Firm definition
- Definition of discretion
- Composite construction
- Compliant presentations and marketing material
- Recordkeeping
- To learn effective methods for staying current with the Standards