At a glance
PwC sit down with Chief Compliance Officers (CCOs) and General Counsels (GCs) of large mutual fund firms to discuss the current regulatory and compliance environment. Dodd-Frank Mutual Funds: CFTC, Money market reforms, LIBOR.
Recently, PwC had a chance to sit down with a number of Chief Compliance Officers (CCOs) and General Counsels (GCs) of large mutual fund firms to talk about the current regulatory and compliance environment. Many CCOs and GCs felt that the current regulatory environment was unlike any they had experienced in the past, both with the range of Dodd Frank-related rulemaking, as well as with the number of regulatory bodies having some regulatory jurisdiction and/or oversight (or possible jurisdiction and oversight) over mutual funds.
Among the topics that were most on their minds now were the following:
To read this FS Regulatory Brief, please click here.