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Calculating and Reporting Performance: Identifying and Controlling Regulatory Risk
Calculating and Reporting Performance: Identifying and Controlling Regulatory Risk
 

April 30, 2015

Division
GIPS Verification

Speaker: Karen Foley, Managing Director, ACA Performance Services

Speaker: Christie Dillard Horsman, Director of Client Development, ACA Performance Services

Webcast Discussion Includes:

  • How compliance staff can better understand and assess risks associated with performance return calculations
  • The need for strong controls around generating and disseminating investment performance
  • Data retrieval concerns and the ability to provide supporting books and records in a timely manner
  • Challenges with maintaining books and records during system conversions
  • The adequacy of books and records that support marketed performance
  • The consistent use of performance throughout an organization
  • How to ensure marketing disclosures meet regulatory requirements