Sec 2019 Examination Letter Shows Tech Tools Broadening, Mutual Funds Focus

Reuters

12/21/2018

Kelley A. Howes

Investment Management, Corporate, and Financial Institutions + Financial Services

In The News

“Mutual funds and their boards of directors should take a careful look at the detail provided in the (November) risk alert, and fund CCOs should make sure that their annual compliance review addresses each of the issues in the risk alert,” advised Morrison & Foerster’s Kelley A. Howes on the SEC’s November risk alert in the Reuters article, “SEC 2019 examination letter shows tech tools broadening, mutual funds focus.”

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