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Fund Compliance-CCO vs Trustee Perspectives
PowerPoint Presentation How do Trustees get the most out of their Interaction with the CCO? …
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SEC EXAMS Division Releases Risk Alert on MNPI
The SEC staff found evidence of advisers that “did not have policies and procedures in place to assign …
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Finra Reminds Members of the Scope of Rule Pertaining to Potential CCO Liability
The notice regarding CCO liability follows efforts to address concerns regarding increased enforcement …
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Risk Alert Identifies Deficiencies in Compliance Programs, Board Practices
The staff also looked at fund governance practices, particularly as they relate to the deliberative processes …