Investment Management Industry Services

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Global Investment Performance Standards (GIPS®) consulting services

GIPS® is a registered trademark of the CFA Institute

Our investment management industry services are targeted to Asset Managers/Portfolio Managers.

We offer performance measurement consulting and GIPS® consulting services to assist money managers in achieving compliance with the CFA Institute’s Global Investment Performance Standards (GIPS ®).

Simulated Audit ™

The SIMULATED AUDIT ™ helps your business proactively identify and correct compliance problems. Our thorough audit helps identify trouble areas before the regulator does. The SIMULATED AUDIT ™ provides proactive solutions for responsible business.

The Customized Compliance Manual

The compliance manual covers the following areas:

• Compliance and Internal Controls
• Books and Records
• Allocation of Trades
• Conflicts of interest
• Change of Control of the Advisor
• Custody of Client assets
• Advisory Agreements
• Fiduciary Responsibilities
• Early Warning Reporting
• Insider Trading
• Proxy Voting
• Client Reporting
• Soft Dollar Arrangements


• Referral Arrangements
• Portfolio Management Standards
• Disclosure
• Performance
• Personal Trading
• Best Price and Execution
• Sales practices
• Advertising and Marketing
• Know your client
• Money Laundering / Terrorist Financing


Compliance Effectiveness Review

Evaluate compliance function including policies and procedures and processes against firm’s obligations under Canadian anti-money laundering and anti-terrorism financing legislation. Compare firm’s documented policies and procedures and processes to the requirements of the PCMLTFL and identify gaps and deficiencies.

Areas Examined

Compliance Structure
Senior Management
Compliance Officer
Risk Based Approach
Risk Mitigation
Policies and Procedures
Training
Effectiveness Review


Operational Compliance

Reporting
Recordkeeping and Retention
Client Identification