October 2, 2018

Special Compliance Considerations for ETFs from Registration to Ongoing Monitoring


Philadelphia partner Diana McCarthy spoke on a panel titled “Special Compliance Considerations for ETFs from Registration to Ongoing Monitoring” at Ascendant Compliance Management’s fall 2018 conference in San Diego. The three-day conference was titled “Decrypting Regulations: Cracking the Code to Powerful Compliance Programs.”

ETFs are popular investment vehicles for retail and institutional clients as well as private investment funds. Understanding how ETFs differ from mutual funds is essential to developing and administering an effective compliance program. The panel reviewed the registration process and status of the SEC’s initiative to streamline the process, discussed ongoing monitoring of ETF exemptive relief, and examined other differences from traditional mutual fund operations.

Learn more about the Ascendant Compliance Conference.

Ascendent Compliance Conference

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