See why ACA Insight is the leading newsletter on regulatory compliance. Sign up for a free 1-week trial.

The weekly news source for investment management legal and compliance professionals

News November 19, 2018 Issue

Examiners Will Target Certain Types of Mutual Funds, ETFs and Their Advisers

The SECís examination arm is getting the word out about perceived fund and adviser risk areas. Just eight days after issuing a risk alert in regard to advisers and the Cash Solicitation Rule, it has issued another risk alert on risk-based examinations focusing on mutual funds, exchange-traded funds and their advisers.

Full contents of this article are only available to paid subscribers.

Subscribe to ACA Insight

Subscribe to ACA Insight and receive a time-limited $200 discount! Subscribers receive: 46 electronic issues conveniently e-mailed to your desktops each Friday; access to archives of past stories; and breaking news e-mails.

Subscribe today to the weekly news source for investment management and legal compliance professionals.

Subscriber Log In

Forgot your password? Click Here.