The GIPS Compliance Notification Form is a required filing with the CFA Institute to notify it of the firm claiming compliance. Firms are required to submit this form when they initially claim compliance, and on an annual basis thereafter. You have until June 30 of each year to submit the form based on information as of the preceding December 31.
The requirements of the submission are detailed below and come from Section 1.A.38 of the 2020 GIPS Standards:
The firm must notify the CFA Institute of its claim of compliance by submitting the GIPS Compliance Notification Form. This form:
- Must be filed when the firm initially claims compliance with the GIPS standards.
- Must be updated annually with information as of the most recent 31 December, with the exception of firm contact information, which must be current as of the form submission date.
- Must be filed annually thereafter by 30 June.