What mutual fund CCOs and GCs are talking about now

October 2012


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:

  • CFTC registration
  • Money market reforms
  • Global compliance programs
  • Board reporting

To read this FS Regulatory Brief, please click here.

Contact us

Dan Ryan
US Banking and Capital Markets Leader
Tel: +1 (646) 471 8488

Alison Gilmore
US Asset and Wealth Management Marketing Leader
Tel: +1 (646) 471 0588