Intermediary relationships are complicated arrangements and do not lend themselves to one standardized type of oversight program. A fund’s ongoing monitoring will vary in frequency, …

Continue reading “Managing the Ongoing Review of Intermediary Oversight”

Asset Management firms, much like other enterprises, are increasingly relying on third-party service providers to streamline operations and reduce costs. While this outsourcing trend enhances …

Continue reading “5 Fundamentals of Service Provider Risk Analysis”

Although intermediary oversight has always been a significant focus of the mutual fund industry, certain regulatory initiatives over the years have elevated oversight management. As …

Continue reading “Managing Risk in Intermediary Oversight Onboarding”