Investment Companies: Fund Compliance Reminders

Aug. 2007

 

Ever since the market timing scandals, fund compliance remains at the forefront of
current regulatory initiatives. As investment companies review their compliance
programs in accordance with federal securities laws,1 it is essential to focus on top
deficiency areas that continue to be noted during regulatory exams; namely,
recordkeeping and adequacy of disclosure. The following are risk management tips that
investment companies may wish to consider.

 

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