Welcome to the Wild West | Mutual fund regulation update

Welcome to the Wild West | Mutual fund regulation update

At the West Coast Regional meeting held in Los Angeles earlier this month, Mike Downer, Senior Vice President, Secretary and Chief Legal Officer
, Capital Research and Management Company, addressed the current regulatory environment for mutual funds in light of changes in the way funds are distributed. Here is a summary of his insights.

Preparing for new regulations | A primer

Preparing for new regulations | A primer
How can you prepare your organization for new regulations that you know are coming, but haven’t been finalized yet? Speaking at the NICSA General Membership Meeting in October about “Compliance Hot Topics,” panelists from Citi Fund Services, Fidelity Investments, the Investment Company Institute, K & L Gates, PwC, and Wilkie, Farr & Gallagher gave the following tips: Know your regulator!

11 hot topics in regulation for 2012

11 hot topics in regulation for 2012
The rapid pace of regulatory change in the U.S. investment industry shows no sign of letting up in 2012. In the NICSA webinar, “A Review of the Regulatory Landscape,” held on January 25, 2012, we took a quick look at the hottest topics for the coming year.

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