Preparing for an SEC Exam of the Fund's Chief Compliance Officer

This article entitled “Preparing for an SEC Exam of the Fund’s Chief Compliance Officer” was published in the March 6, 2006 issue of Fund Action.  The authors discuss what the Chief Compliance Officers of registered investment companies and their service providers can expect to be asked during a routine SEC Office of Compliance Inspections and Examinations exam. 

To view the full article, please click on the PDF link above.