In this ComplianceCasts™ Minute, Gena Dirani discusses the new SEC rule proposal that could have a major impact on what information is required to be reported to the SEC. These rule changes would require Mutual Funds and other Asset Managers to report additional information to the SEC.
Listen to the podcast below:
You can also download this podcast by right clicking here and selecting save as.
- The Compliance Professionals Guide to Effective Trade Desk Monitoring
- The Cost of Compliance: Understanding and Leveraging Resources
- Standards of Business Conduct: Personal Trading and Beyond
Recent ComplianceCast™ Minutes