JPMorgan Worldwide Securities Services has introduced two new websites targeted at chief compliance officers to help them meet various mutual fund compliance requirements.
The U.S. Securities and Exchange Commission requires mutual funds to appoint COOs and implement comprehensive policies and procedures to prevent fund companies and advisors from violating SEC regulations and securities laws. The new websites – a public and client site – provide information about compliance and a variety of resources for COOs. The public site is available at www.jpmorgan.com/wss. For clients, the site includes news and communications, information on policies and procedures, SAS 70 reports on fund accounting and custody, and links to the full text of the SEC Rules 38a-1 and 206(4)-7.
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