Blogs

In the world of investment company compliance, one can have all of the essential elements of a great compliance program, but without the intangible ingredient of a highly-experienced and attentive Chief Compliance Officer (CCO), the program may fail.

Mutual funds must prepare and provide a plethora of documents to their shareholders throughout the year.

The Securities and Exchange Commission (SEC) requires mutual funds—and similar investment companies—to submit various filings throughout each year.

COVID-19’s impact on financial markets has highlighted the need for active monitoring of legislation as well as tax and post-trade compliance for regulated investment companies, or RICs. COVID-19-related tax and economic relief benefited RICs directly and indirectly.

During the recent Inside ETF Conference, more than 2,300 financial advisers, institutional investors, investment managers, representatives from academia, and many other industry experts gathered in Hollywood, Florida to participate in and learn from a spectrum of forward-looking agenda topics.

The Securities and Exchange Commission’s (SEC) Office of Inspections and Examinations (OCIE) released its 2020 examination priorities in January, identifying key areas of potential risk to investors and the capital markets.