Marketing Investment Performance in the US: Ensuring SEC and GIPS® Compliance

Date: 
February 24, 2015
Type: 
Seminar
Division: 
Investment Adviser FCA (UK) Authorization ACA Performance Services
Location: 
The May Fair Hotel Suite 8 Stratton Street, London, W1J 8LT
Speaker(s): 
Justin Guthrie, Lynne Carreiro, Paul Blandford

Featuring prominent SEC and GIPS industry specialists drawn from ACA’s senior team, including a former SEC Examiner, we will share our perspectives on the SEC’s approach to assessing firms claiming GIPS compliance. Our panellists will also look at some of the other GIPS compliance challenges firms are currently facing including how to calculate and present performance net of fees.

You are invited to bring other colleagues from performance, compliance and sales/marketing as this event is highly relevant in each of these areas.

CPE and CLE Credit
Panelists

Justin

Justin Guthrie, CFA
Managing Partner
ACA Performance Services

Lynne

Lynne Carreiro
Managing Director
ACA Compliance Group

Paul

Paul Blandford
Managing Director
ACA Performance (Europe)


Agneda
Agenda

Event Agenda

8:30 am
Registration and Continental Breakfast

9:00 am – 9:30 am
Justin Guthrie: Marketing Investment Performance in the US

  • Current performance reporting trends
  • How to ensure GIPS compliance when marketing in the US

9:30 am – 10:15 am
Lynne Carreiro: How to comply with the SEC’s marketing rules

  • Key SEC requirements and the most common mistakes made by firms
  • Investor requests and how to craft a compliant response
  • The Office of Compliance Inspections and Examinations’ approach to the GIPS standards
  • Review of the SEC’s Aberrational Performance Inquiry and recent performance related enforcement cases

10:15 am – 10:30 am
Networking break and coffee

10:30 am – 11:00 am
Paul Blandford: Current GIPS challenges

  • Calculating and presenting performance net of fees
  • Ensuring appropriate disclosures
  • Distribution of GIPS compliant materials

11:00 am – 11:30 am
Panel Q & A


RSVP
RSVP
Click here to RSVP to this complimentary event.

Location
Location

The May Fair Hotel
Suite 8
Stratton Street,
London,
W1J 8LT


Contact
Contact

If you have questions regarding this event, please email Yemi Fujamade at yemi.fujamade@acacomplianceeurope.com or call her at 0207 042 0500 .

Attendance is limited to 50, so please RSVP at your earliest convenience to guarantee your reservation.