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The CCO’s Guide to the GIPS Standards: Essentials for Understanding and Mitigating Risk

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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