Edited by William A. Birdthistle and John Morley
Chapter 9: Mutual fund compliance: key developments and their implications
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.
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