Ethical and Professional Standards V
About the Lecture
The lecture Ethical and Professional Standards V by Edu Pristine is from the course Archiv - Ethical and Professional Standards. It contains the following chapters:
- Verifications
- Key characteristics of GIPS
- Fundamentals of Compliance
- Scope of GIPS standards with respect to an investment firm's definition
- Historical performance record
- Implementation of GIPS in countries
Author of lecture Ethical and Professional Standards V
Edu Pristine
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Excerpts from the accompanying material
... Composite construction requirements. Firm wide basis, processes and procedures. Minimum period ...
... for the periods [insert dates] by [name of verifier]. ...
... Must be independent third party. ...
... "Which of the following statements are true with respect to GIPS® verification standards A) GIPS® standards require that a firm verify the composite construction requirements on a firm-wide basis and calculation policies and procedures with an independent third party. B) GIPS® standards recommend that a firm verify the composite ...
... GIPS® standards and the fundamentals of compliance. ...
... "Same investment strategy", Firm-wide basis: What is a firm? ...
... Real estate "More and more information! Supplements." All or none compliance. ...
... Total firm assets = discretionary + non-discretionary. Assets = Market value What if sub advisors? ...
... [Firm] has prepared and presented this report in compliance with the Global Investment Performance Standards (GIPS) ...
... all describe composite Joint-marketing? Disclose ...
... Integrity of input data . Recommended vs. required. All or none compliance. GIPS® vs. local laws. Separate provision for Real estate. ...
... Disclose! "Describe the fundamentals of compliance" ...
... B) All aspects of the GIPS ® are recommended. They are simply guidelines and don't necessarily need to be followed. C) Some aspects of GIPS ® are mandatory. ...
... FooBarAsset LLC has two asset management divisions working on equity related statistical arbitrage investment opportunities. One of them is compliant with GIPS® and the other has minor differences with GIPS® standards. Which is most appropriate course of action for FooBarAsset LLC, in relation to GIPS® compliance requirements? ...
... Okay if >January 1, 2000 ...
... Concept of firm firm-wide not for a division or specific composite ...
... In allowing a claim of being in compliance with the Performance Presentation Standards, CFA Institute requires that the compliance be on a firm wide basis. Which of the following does not qualify as a firm in this requirement. ...
