Fundamental Principles of GIPS® Compliance

Fundamental Principles of GIPS® Compliance2018-03-29T11:46:16+00:00

Project Description

Course Overview

This is the intermediate level course of our three-part program on the Global Investment Performance Standards (GIPS®). The objective of this course is to equip prospective compliant firms with the knowledge and skills they need to evaluate their firm’s QUALIFICATION, ABILITY AND READINESS to comply with the GIPS®, using a practical, case-based approach. This course does not provide a step-by-step review of the GIPS but focuses on the necessary evaluations needed to determine whether a prospective firm is positioned to initiate the compliance process.

Detailed coverage of the application of composite construction principles, calculation methodologies and other implementation related topics are beyond the scope of this course and covered in the Practice Principles of GIPS® Course.

Introductory level coverage of the Standards is also not covered in this course. Prospective participants looking for an introductory level content and overview of the Standards should consider enrolling in our Foundations of GIPS® Course offered online prior to joining this course.

The other courses in this three-part program are:

By the end of this training, participants will be able to:

  • OUTLINE the framework for categorizing the GIPS Standards for the evaluations
  • IDENTIFY the principles used for evaluating qualification, ability and readiness of a firm to comply with GIPS®
  • DEMONSTRATE application of the evaluation principles by applying the principles to EVALUATE prospective compliant firms and RECOMMEND a course of action and corrective measures in light of their state of qualification, ability and readiness to comply with GIPS®

Participants are required to have some foundational knowledge of the GIPS® Standards as well as intermediate to advanced knowledge and experience of structures and processes within the investment management business. Participants who need a refresher should consider enrolling and completing our Foundations of GIPS® course prior to attending this course.

All participants are required to be familiar with the GIPS® by reading through the GIPS® Manual 2010 Edition prior to beginning this course, as this course assumes such knowledge and will not provide a step-by-step review of the Standards.

Participants are awarded two certificates depending on the level of participation:

  • Certificate of Participation – For Course Completion only
  • Certificate of Distinction – Completing Course and Passing Online Test (75% Pass Mark)

 

This course is recommended for professionals of prospective investment firms and asset owners seeking to acquire the skills to be able to evaluate their firms’ qualification, ability and readiness to comply with the GIPS®, such as:

  • Investment Managers
  • Asset Owners & Fiduciaries
  • Industry Regulators
  • Investors & Investment Consultants
  • Compliance & Risk Officers
  • Fund Administrators
  • Custodians
  • Fund Accountants
  • Other Investment Industry Professionals

MODULE 1 – ESTABLISHING THE FRAMEWORK FOR THE EVALUATIONS

This first module establishes the analysis categorization of the Standards to provide the framework and scope for the application of the principles of the Standards in the course.

 MODULE 2 – QUALIFICATION PRINCIPLES & EVALUATIONS

In this module participants will learn to identify and apply the principles of the GIPS that pertain to determining whether a prospective compliant firm qualifies to consider complying with the GIPS and recommend corrective action when necessary.

 MODULE 3 – ABILITY PRINCIPLES & EVALUATIONS

This third module will equip participants with the principles and skills to evaluate whether a qualified firm is able to begin a claim of compliance with the GIPS immediately or may be required to begin claiming compliance at a future date based on certain deficiencies.

 MODULE 4 – READINESS PRINCIPLES & EVALUATIONS

This last evaluation module outlines key consideration to determine whether a prospective compliant firm is organizationally and operationally ready to begin implementing the GIPS

 MODULE 5 – APPLICATION CASE STUDIES

This last module equips participants to synthesize all the evaluation principles and apply to different prospective compliant firms to recommend a course of action for the firm in its quest to comply with the GIPS® Standards.

Group Live (Seminar/Corporate) – One and a half (1.5) days (8:30am to 4:00pm for Full Day and 8:30am to 11:30am for Half Day)

Online Course Duration – TBA

Venue for May 2018 Accra, Ghana Session – To Be Announced (TBA)

Group Live Course Fees

Live Seminar – $395 (GHC1,650)

Online Course – $250

 

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