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Technology Is Changing Fund Compliance – The Board-CCO Partnership Matters More Than Ever

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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.

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

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...

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Technology Committee

The Technology Committee provides a forum for the discussion of emerging technologies that could impact the mutual fund industry and more.
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Treasury Department Issues Request for Information on Uses, Opportunities, and Risks of Artificial Intelligence in the Financial Services Sector

The Department of the Treasury published in the Federal Register a request for information on uses, opportunities, and risks of artificial intelligence (AI) in the financial services sector. The RFI uses a broad definition AI, which Treasury views as encompassing "a wide range of...