In today’s interdependent marketplace, it’s up to fund families to evaluate the compliance controls of their various vendors and service providers.  Taking into account …

Continue reading “The Importance of Audit Reports to Mutual Fund Service Provider Oversight”

  “Intermediaries are cagey.  We get it…” Continue reading on boardiq.com  

On March 1, 2013, the Securities and Exchange Commission issued a request for information to aid the agency in its consideration of revisions to the …

Continue reading “SEC Requests Data to Facilitate Its Consideration of a Uniform Rule for Investment Advisers and Broker-Dealers That Provide Personalized Investment Advice”