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Luncheon Event -- Performance Advertising:  Current Regulatory Landscape & Future of GIPS Compliance

Event Description

Please join us for an interactive panel discussion addressing the current regulatory landscape related to performance reporting and advertising.  Our panel of experts will focus on the continued evolution of the Global Investment Performance Standards (GIPS®) and the changes that are on the horizon for investment advisers.  In addition, the panel will discuss lessons learned from recent enforcement actions related to performance advertising and practical considerations that can help advisers to create efficiencies and mitigate risk.
About the Panelists:
Michael McGrath, CFA is a Partner at K&L Gates. He practices in the areas of investment management, securities, and commodities law, including the representation of institutional investment firms, registered investment companies, private equity and hedge funds, and emerging financial technology firms. 

Mr. McGrath counsels financial institutions regarding SEC, CFTC, NFA, and FINRA regulation. His practice is focused on helping financial institutions design their compliance programs, supporting trading and investment management issues including best execution, soft dollars, control of nonpublic information, and derivatives trading, and assisting with SEC and NFA staff examinations. Mr. McGrath also has extensive experience counseling clients on regulatory matters that relate to strategic business decisions, including:
*    transactional, regulatory, and operational issues arising from
     mergers and reorganizations of investment funds and their
     investment advisers;
*    optimal corporate and operational structures related to affiliated
     investment managers, cross-border operations, and joint                    ventures; 
*    the development of novel alternative investment strategies and           the offering of such strategies through various types of 
      investment vehicles; and
      *    emerging regulatory issues related to crowdfunding, social                      media, cybersecurity, and financial technology.

He is based in Boston.

Amy Jones, CIPM is Founder and Principal of Guard- ian  Performance Solutions LLC, a leading provider of GIPS® compliance implementation and support services. For over thirteen years, Amy has consulted with advisers of varying sizes and complexities located across the country, helping them to interpret and apply the GIPS standards.

Amy is currently a member of the United States Investment Performance Committee (USIPC), the official local sponsoring organization for the GIPS standards in the United States. The purpose of the USIPC is to promote the adoption and implementation of the GIPS standards throughout the United States as the common method for calculating and presenting investment performance. Amy graduated from Southern Oregon University with a BS in Business Administration and an emphasis in Accounting. She holds a Certificate in Investment Performance Measurement (CIPM), is a member of the CIPM Association and the National Society of Compliance Professionals (NSCP). She is also a frequent conference speaker and author on topics related to performance advertising compliance and performance measurement. 

She is based in Seattle, Washington.

Richard J. Kemmling, CPA, CIPM, CGMA is a Partner at ACA Performance Services, division of ACA Compliance Group. His primary responsibilities include serving as a partner on GIPS® verification engagements, as well as performance certifications and focused reviews. He also co-leads the division's executive committee. Richard has worked with firms of all sizes and asset classes around the world. He is frequent speaker globally on the GIPS standards and has been quoted and interviewed by several industry media outlets. In addition, he serves on the United States Investment Performance Committee.

Prior to joining ACA, Richard served as a partner and president of a large global verification firm.

He earned his Bachelor of Arts degree in Accounting from the University of Washington and an MBA from the University of Chicago's Booth School of Business.

Event Type


Education Topic

Performance Measurement and Evaluation

Start Time

9/12/2017 11:30 AM

End Time

9/12/2017 1:30 PM


Newport Beach



Event Country


Event Region


Location Info

​The Pacific Club

4110 MacArthur Blvd.

Newport Beach, CA 92660


See above.

CE Credits


SER Credit




Member Price


Non-Member Price


Candidate Price



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Content Type: MyCFA Calendar
Created at 8/9/2017 11:41 PM by
Last modified at 8/14/2017 3:43 PM by