IMPORTANT COMPLIANCE ALERT:
GIPS COMPLIANT PRESENTATION TRACKING
EFFECTIVE IMMEDIATELY
As noted in the 1st quarter LFAS/LFCM Compliance Webinar, in light of recently implemented GIPS (Global Investment Performance Standards) requirements, LFCM is now required to provide and track delivery of GIPS compliant presentation materials to all prospective clients of LFCM asset management services. For purposes of this requirement, a prospective client is any client that expresses an interest in an LFCM composite strategy and is qualified to invest in such strategy. Presentation materials must be provided when an individual first qualifies as a prospective client and again every twelve (12) months if the client remains a prospective client.
Please complete the GIPS Compliant Presentation Tracking JotForm (Link is also located in Dropbox/Level Four Asset Management) when engaging any prospective client who has expressed an interest in an LFCM composite strategy and is qualified to invest in such strategy. As the form indicates, please note that if selecting email delivery, materials will be delivered to the client email address provided within the form automatically. If you select either the in person or mail option for delivery, you will be responsible for delivering GIPS compliant presentation materials.
Thank you for your cooperation with this important compliance requirement.
