News & Analysis as of

Regulatory Requirements › Asset Management › Chief Compliance Officers

Ropes & Gray LLP

Overview of ETF Share Class Operational Issues

Ropes & Gray LLP on

One of the most talked about topics in asset management is the possibility of offering Mutual Fund and ETF Classes in the same Fund. It appears that Funds may obtain the Relief necessary to offer these Share Classes in the...more

SEC Compliance Consultants, Inc. (SEC³)

How Much Testing is Enough?

SEC Compliance Consultants, Inc. (SEC³) on

Most compliance officers struggle to determine whether they are conducting enough testing to satisfy their obligations under the Advisers Act. In its release adopting Advisers Act Rule 206(4)-7, the SEC stated that an...more

Hanzo

Why Adobe Experience Manager Creates Unique Web Archiving Challenges For Compliance

Hanzo on

Is your organization using Adobe Experience Manager (AEM) to create user-level individualized website experiences? If so, kudos to you and your marketing team. We’ve been blown away by the degree of granularity and...more

3 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide