Offering Alternative Investment Strategies in a Mutual Fund Structure: Practical Considerations
Investors and their financial advisers continue to search for higher risk-adjusted returns by incorporating non-traditional, non-correlated asset classes into investor portfolios. In addition, alternative investment products appeal to investors seeking to invest in hedge funds, who may not qualify to invest in them directly. With approximately $12 trillion mutual fund assets in the United States as potential investments in alternative mutual fund strategies, mutual fund sponsors see a significant opportunity in developing investment products that provide exposure to alternative asset classes via hedgelike mutual funds.
Download White Paper (PDF)
Updating Your Compliance Imperatives: Planning and Priorities for 2006
With several regulatory proposals in a state of flux and a spate of deadlines looming, it's no easy task to set compliance priorities. Issues covered will include your CCO's upcoming annual compliance program evaluation, wrinkles in hedge fund registration, and new standards for reporting separate account performance.
Download White Paper (PDF)
What Should Fund Boards Be Doing to Advance Compliance Efforts? ...And How Should CCOs Help?
As the deadline for the first mandated annual evaluation of adopted compliance programs looms closer, the role of fund boards is coming under a spotlight. Find out what kind of compliance framework boards should be putting into place and what it takes to have an effective and proactive relationship with the company CCO.
Download White Paper (PDF)
Your Next SEC Exam: Will You Be Ready?
Given the way regulation is evolving, no investment management organization can afford to be sanguine about the SEC's examination procedures and how your compliance programs will eventually be scrutinized. Our web seminar focused on the steps you should be taking, with a special focus on e-mail retention. As a result a detailed overview of regulatory developments was created to help investment managers focus their efforts.
Download Overview of Regulatory Developments (PDF)
The Top 7 Compliance Issues
Compliance is a moving target, and with so many items on the punchlist, setting priorities can be daunting. A recent SEI Web seminar targeted seven key issues for action and offered suggestions on ways to deal with them.
Download White Paper (PDF)
Compliance Program Countdown
The deadline for funds and advisors to have a comprehensive compliance program documented and implemented is rapidly approaching. Our panel will help you make sure you're ready to meet the letter and the spirit of the SEC compliance rule.
Download Best Practices Guidelines for CCOs, CEOs & Board Members
Creating Culture of Compliance
Mutual funds and investment advisors everywhere are grappling with new SEC requirements to develop, and begin implementing, an “overall compliance program.” Legal and compliance experts agree that the new rules are a lot to get your arms around—especially the call for firms to ensure that they have a “culture of compliance.”
Download White Paper (PDF)
New Regulatory Challenges
As the regulatory landscape continues to change, companies should start to focus on certain key regulations and begin to shape their business to foster a "culture of compliance." Here we examine the latest developments and how they will affect investment managers.
Download White Paper (PDF)
Click here to download Adobe Acrobat Reader.
|
