You are looking at 1 - 3 of 3 items

  • Author or Editor: James Fanto x
Clear All Modify Search
You do not have access to this content

James Fanto

The chapter focuses on the burgeoning field of regulatory compliance, as it relates to mutual funds. Specifically, it examines three major developments: (1) the continuing confusion over potential supervisory liability for compliance officers; (2) the increasing use of technology by these officers; and (3) the possible integration of the compliance function into risk management, rather than compliance remaining as a standalone control function. The chapter argues that, rather than passively watching and accepting these developments as they unfold, compliance officers and others with a stake in effective compliance should examine the developments critically to preserve the effectiveness of regulatory compliance.