Tag: fund disclosures

SEC Sets Clear Expectations Regarding Registered Investment Companies’ Compliance Programs

Chief Compliance Officers, Trustees and Service Providers to registered investment companies (RICs) be fair warned … the SEC’s Office of Compliance Inspections and Examinations (OCIE) has issued a Risk Alert identifying the most common deficiencies identified in examinations of RICs and providing observations with respect to money market funds and target date funds. With respect … Continued


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