Category: Articles & Publications

MONEY MANAGEMENT EXECUTIVE: Ready for Regulatory Review?

March 13, 2018, By Carl M. Rizzo and Joseph M. DiBartolo, Directors, Alaric Compliance Services

Asset managers and mutual fund firms have been subject to new regulations in recent months. Considering the June 1 deadline to gather all data required for Form N-PORT reporting, firms should ensure they are prepared.

In its 2018 National Exam Program Examination Priorities, the SEC’s Office of Compliance Inspections and Examinations indicated they will focus on ETFs and mutual funds. Those that may be reviewed include funds that have experienced poor performance or liquidity, registered investment companies managed by investment advisors with little experience…

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