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Financial Management White Papers

How Fund Management Firms Can Manage SEC Requirements to Their Advantage

Overview Triggered by headline-grabbing investigations into mutual fund operations, Securities and Exchange Commission (SEC) regulations implemented in the fall of 2004 now mandate the appointment of chief compliance officers to investment firms, putting fund management companies with no established compliance infrastructure at risk of fines or worse. Faced with additional regulatory pressure, investment firms worldwide could find themselves changing their approach to compliance, interpreting it not so much as a cost of doing business, but as a long-term investment.

Further White Paper Details
Publisher	IBM	File Format	PDF, requires Acrobat Rdr 5
Date Published	March 2005	Downloads	24
Format	White Papers
Topics	Financial Management

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