Are you prepared for a market correction?

Monday, August 19th, 2019 and is filed under AI Insight News

Have you recently reviewed your policies and procedures around Alternative Mutual Funds? Use the resources below to help your advisors better understand your firm’s best practices. It’s always best to address areas for improvement prior to market corrections, which seem to highlight such deficiencies.

How would you answer the following questions?

  1. Does your firm approve all fund company mutual funds?
  2. Is your firm performing the additional due diligence needed based on continued regulatory guidance?
  3. Does your firm have an efficient solution to establish and enforce best practices?

Related Regulatory References

Watch the video and view this checklist to learn more.