Category Archives: Disclosure Management
Asset Managers Describe Disclosure Management Processes as ‘Cumbersome’ and ‘Risky’
New SEC regulations like Form ADV and N-PORT are putting even more pressure on registered investment companies to examine their regulatory enterprise risk management practices. Fund Operations reported that “RICs need to embrace the mandate of the new regulatory initiatives and proactively develop, implement and maintain robust Regulatory ERM systems to comply with…reporting obligations.”
As regulators continue to amp-up their scrutiny, many asset managers are taking a hard look at how they’re managing disclosures. Read More