IDC Viewpoints Content

As technological advancements transform the fund compliance landscape, strengthening the partnership between the fund board and the chief compliance officer is more important than ever.

More than 20 years after the SEC adopted Rule 38a-1, the fund compliance landscape looks very different. Advances in data analytics, automated monitoring, and emerging artificial intelligence (AI)...

Technology has significantly enhanced the ability of compliance teams to monitor activities, analyze data, and identify potential issues. Automated testing and surveillance tools can review large...

Fund boards are a cornerstone of regulated funds, established to protect investors from conflicts of interest and ensure strong governance. With independent directors representing shareholder interests, fund boards provide critical oversight, upholding transparency, fiduciary standards, and accountability across the industry.

Independent fund directors don't work in isolation. The collective deliberations among board members and management—as well as the exchange of perspectives with peers on other boards who are...

The regulated funds industry stands at an inflection point. With regulators taking a more receptive approach to innovation, technological advances shaping fund operations, and innovations like ETF...