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Compliance Insights for 2024 Reporting

As year-end approaches, compliance with the GIPS standards and SEC Marketing Rule is top of mind for many firms. Our latest update highlights essential strategies for streamlining your tracking and reporting processes for marketing materials, ensuring your net-of-fees returns meet both the GIPS standards and SEC requirements, and conducting effective composite membership and data integrity reviews.

SEC Marketing Rule – Prescribed Time Periods

Beginning November 4, 2022, all performance presented in an SEC-registrant’s marketing materials must include the additional time period requirements. One-, five- and ten-year net performance must be included in marketing materials when presenting performance.

Ten Steps to GIPS® Compliance

Step 1 – Gain Management Support: Management must commit time and resources to bring the firm into compliance. Create a GIPS committee that includes leaders from different departments at the firm. Step 2 – Know the Standards: There is no way you’re going to get your whole firm to read the 400+ page GIPS Handbook or sit through a day-long work shop.

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