Registered Investment Companies: Review of Certain Core Areas and Associated Documents Requested

Today the Division of Examinations published a Risk Alert providing insight regarding the examination process for funds and includes an attachment outlining the types of documents and information that are typically requested by examination staff. Examination observations related to certain core review areas, including fund compliance programs, fund disclosures and filings, fund governance practices are also highlighted to assist funds and their advisers in developing and enhancing their compliance programs and practices.

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