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Featured Articles

Predecessor Performance in Practice: Navigating the GIPS® Standards and the SEC Marketing Rule

Showing predecessor performance can be valuable, but it can also create unnecessary regulatory risk. Questions about predecessor performance continue to create confusion, especially when portability criteria aren’t met and firms are trying to balance client expectations with compliance under the GIPS® Standards and the SEC Marketing Rule.

Understanding Global Investment Performance Standards (GIPS®) Model Fee Requirements

We have summarized questions and answers related to model fees from the GIPS standards Q&A database and from the GIPS Standards Help Desk session at the conference. These five Q&As highlight how firms can apply model fees in practice, when additional return streams are allowed, and what disclosures are needed to stay aligned with the 2020 GIPS standards.

Freshly GIPS® Compliant

Freshly GIPS Compliant firms must understand and consistently apply the Global Investment Performance Standards (GIPS®), with particular attention to ongoing requirements like GIPS Report distribution, advertising guidelines, error correction, annual compliance notification, and verifier independence. Achieving and maintaining compliance requires careful planning, documentation, and regular monitoring of regulatory updates to ensure fair and robust performance reporting.

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