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发表于 2011-2-27 14:40 | 只看该作者

Reading 4: Global Investment Performance Standards (GIPS)-LOS

Investment, standards, between, border, center

Session 1: Ethical and Professional Standards
Reading 4: Global Investment Performance Standards (GIPS)

LOS d: Characterize the nine major sections of the GIPS standards.

The provisions for each section of the Global Investment Performance Standards (GIPS) are divided between:

A)	minimum standards and recommendations.

B)	fee-paying and non fee-paying portfolios.

C)	requirements and recommendations.

Firms must meet all requirements in order to claim compliance with the GIPS standards, and are encouraged to adopt and implement the recommendations.

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发表于 2011-2-27 14:40 | 只看该作者

The section of the Global Investment Performance Standards (GIPS) that outlines defining the firm and documenting firm policies and procedures is:

A)	Presentation and Reporting.

B)	Fundamentals of Compliance.

C)	Disclosures.

According to Section 0, Fundamentals of Compliance, the definition of the firm is the foundation for firm-wide compliance and creates boundaries in order to determine total firm assets.

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发表于 2011-2-27 14:40 | 只看该作者

Within the Global Investment Performance Standards (GIPS) are supplemental provisions which must be applied to which of the following asset classes?

A)	Private equity and real estate.

B)	Emerging markets and private equity.

C)	Alternative investments and derivatives.

The GIPS standards do not address performance measurement or coverage of all asset classes, but sections 6, 7 and 8 are supplemental provisions which must be specifically applied to private equity, real estate, and wrap fee/separately managed account (SMA) portfolios.

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发表于 2011-2-27 14:40 | 只看该作者

All of the following are titles of one of the nine sections of the Global Investment Performance Standards (GIPS) EXCEPT:

A)	Real Estate.

B)	Implementation.

C)	Input Data.

"Implementation" is not a name of one of the nine major sections of the GIPS standards.

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1215

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发表于 2011-2-27 14:41 | 只看该作者

The nine major sections of the Global Investment Performance Standards (GIPS) least likely include:

A)	required disclosures.

B)	input data requirements.

C)	verification procedures.

The nine major sections of GIPS are: 0) Fundamentals of compliance; 1) Input data; 2) Calculation methodology; 3) Composite construction; 4) Disclosures; 5) Presentation and reporting; 6) Real estate; 7) Private equity; 8) Wrap fee/Separately Managed Account (SMA) portfolios.

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