Taking the Risk Out of Mutual Fund Compliance

Levering, Jeff
March 2008
Securities Industry News;3/24/2008, Vol. 20 Issue 12, p4
Trade Publication
The author comments on the lack of transparency in mutual fund trading. He cites problems associated with the current system, such as overcharged commissions due to the lack of reliable information on fund policies, like rights of accumulation and letter of intent when selling a fund. He suggests how firms could improve mutual fund compliance.


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