services
Our Verification & Compliance Solutions
We welcome your GIPS® compliance and performance review questions, and are passionate about leveraging our decades of experience to serve as a resource for your firm.
Pre-verification Consulting
Is your firm looking into claiming GIPS compliance? As independent verifiers, we’ve been down this path before. We’re here to serve as your seasoned guide, educating your team on best practices, helping you find the right technology, and designing a unique and customized plan for you to achieve and maintain a firmwide claim of GIPS compliance.
GIPS Compliance & Verification
The verification process is an opportunity to turn over your firm’s GIPS standards policies and procedures and required performance disclosures for independent review. Our team will 1) verify that your materials are complete and reflect what you are actually doing, 2) identify necessary corrections, and 3) suggest optional best practices or ideas for increased efficiencies. This independent third-party review gives you—and your prospective investors—assurance that you are truly in compliance.
Your firm may also choose to add a performance examination to your verification to provide more in-depth testing of a specific composite or fund’s GIPS Report. This optional extra measure allows you to claim that that strategy’s performance has been audited or examined.
Performance Reviews
Interested in having your performance reviewed by an independent third party to market on a platform or comply with the SEC Marketing Rule? A review by Cascade Compliance can increase the credibility of your performance record in the near-term and establish a solid compliance framework to make it easier for your firm to maintain ongoing regulatory compliance and even claim GIPS compliance in the future if you want to do so.
Education & Workshops
At Cascade Compliance, we build workshops and one-on-one consulting into our service model. We also offer stand-alone education, including specific training for targeted groups within your firm, such as marketing/client service, performance/operations, portfolio management, and compliance. Targeted training helps firms new to the GIPS standards communicate the impact firmwide compliance will have on each group’s employees, based on their unique roles and responsibilities.
