Implementing the

GIPS® Standards

 

A Full Day Workshop for

Performance & Compliance Professionals

Summary

Kim Cash, CFA, CPA, CAIA, CIPM is the Founder of Cascade Compliance, a Portland-based GIPS verification and consulting firm.  Kim has over 24 years of investment performance, risk management and consulting experience as a Partner and Director of Verification Services for Ashland Partners and a Consultant and Chief Compliance Officer for RVK.  She has trained a generation of verifiers, led verifications and client service initiatives for 800+ clients, and she developed and taught national CIPM exam review courses and a CFA exam review course on the GIPS standards.  Kim is Chair of the 2019 AICPA Task Force charged with developing guidance for CPAs conducting GIPS verifications and performance examinations.  She is a Certified Securities Compliance Professional and has a master’s degree in education from Concordia University, Portland.

Amy Jones, CIPM

Guardian Performance Solutions - Founder, Principal

Amy Jones, CIPM is one of the industry’s leading experts on the Global Investment Performance Standards (GIPS®). Working with the GIPS standards for the past 15 years, Amy has extensive experience interpreting and applying the Standards to almost any situation. She has consulted with advisers of varying sizes and complexities, from single owner advisory firm to firms with over $400 billion under management.

Amy works with advisory firms to achieve and maintain ongoing compliance with the GIPS standards and review performance advertisements. In addition, she understands the compliance burden that investment advisers are under as she has also worked extensively with advisers to create policy & procedure manuals compliant with SEC Rule 206(4)‐7, drafted Form ADV disclosures, and conducted compliance reviews and audits for firms located throughout the country. Prior to working as a compliance consultant, Amy was a manager at an accounting firm that specialized in GIPS verification services, where she conducted and oversaw hundreds of GIPS verification projects for advisory firms across the country of all sizes and levels of complexity.

Amy is currently the Chair 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.

Kim Cash, CFA, CPA, CAIA, CIPM

Cascade Compliance & Verification - Founder

Anisa E. Pérez

Avalon Investment & Advisory - Managing Director and Head of Investment Operations and Culture

Anisa E. Pérez is Managing Director and Head of Investment Operations and Culture at Avalon Advisors.  Anisa joined Avalon in 2004, handling marketing and compliance, and has been involved in administration and operation processes across the firm.  Anisa began her career in 1995 on the Latin American Equities team at Banco Santander London and in 1999 joined Morgan Stanley London’s Private Wealth Management Group.

Karyn D. Vincent, CFA, CIPM

Head, Global Industry Standards at CFA Institute and GIPS Executive Director

Karyn D. Vincent, CFA, CIPM, is Head, Global Industry Standards at CFA Institute and GIPS Executive Director. Previously, she was managing partner for client services at ACA Performance Services. Ms. Vincent founded Vincent Performance Services LLC, which subsequently merged with ACA. She also served as the global practice leader for investment performance services at PricewaterhouseCoopers. Ms. Vincent also served on the GIPS Executive Committee, chaired the GIPS Technical Committee, GIPS Interpretations Subcommittee and the Verification/Practitioner Subcommittee, served on the CIPM® Advisory Council, and chaired the AIMR-PPS Implementation Committee. She co‐authored with Bruce J. Feibel Complying with the Global Investment Performance Standards (GIPS). Ms. Vincent holds a bachelor’s degree in accounting from the University of Massachusetts Dartmouth.

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