About This Show
Welcome to the Compliance4 podcast with your host Elizabeth Hamilton-Guarino. Compliance4 is dedicated to helping you connect with the greatest minds in the regulatory, legal and compliance fields. Use the hashtag #Compliance4 to connect with us in social media. Visit us online at Compliance4.com and join your peers and our experts in our growing community.Read more »
Most Recent Episode
Susan Olson & Tamara Salmon - Top Compliance Trends & SEC Agenda for Funds
Please welcome ICI's Susan Olson and Tamara Salmon to The Compliance4 Podcast. Susan and Tamara will join us for an hour to talk about the Top Compliance Trends and the SEC Agenda for Funds: What the Mutual Fund and ETF Industry is Watching.
It’s a dynamic time in the world of fund compliance and regulation. Technology, innovation, and simplification are just a few of the big trends driving changes in how funds are serving investors. To find out what’s on the minds of regulators and those in the industry, I’m talking to two experts from the Investment Company Institute. First, ICI General Counsel Susan Olson will fill us in on the agenda for funds at the US Securities and Exchange Commission, including…
* Planned changes to the approval process for exchange traded funds.
* SEC plans for modernizing shareholder report delivery.
* And, potential changes to fund investor disclosure documents.
Then compliance maven and ICI Associate General Counsel Tamara Salmon will fill us on all of the latest mega-trends affecting the fund compliance world, including how fund compliance professionals are…
* Embracing technology to sort through large data pools.
* Preparing their firms for compliance with the SEC’s liquidity risk management program.
* And, harnessing artificial intelligence and machine learning to increase efficiency.
For More Info:
Twitter: @ICIRead more »