Compliance management systems may be differently structured or documented in a way that is specific to the organization. Need Enterprise risk management has a primary… Read More »Compliance Management: How often are you out of compliance with regulations?
When the asset management plan is augmented with planning-level cost estimates, the result is a good forward-looking capital improvement program, the compliance structure should have… Read More »Compliance Management: Are asset management projects funded?
Compliance Management: Are closed-end funds subject to the same compliance restrictions as open-end mutual funds?
Management organizations (funds) are further divided into open-end funds (mutual funds) and closed-end funds, an expense ratio includes management, administrative, marketing, and distribution fees. To… Read More »Compliance Management: Are closed-end funds subject to the same compliance restrictions as open-end mutual funds?