About a-team Marketing Services
The knowledge platform for the financial technology industry
The knowledge platform for the financial technology industry

A-Team Insight Blogs

JPMorgan WSS Launches Sites For Compliance Officers

Subscribe to our newsletter

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.

Subscribe to our newsletter

Related content

WEBINAR

Upcoming Webinar: Hearing from the Experts: AI Governance Best Practices

9 September 2025 10:00am ET | 3:00pm London | 4:00pm CET Duration: 50 Minutes The rapid spread of artificial intelligence in the financial industry presents data teams with novel challenges. AI’s ability to harvest and utilize vast amounts of data has raised concerns about the privacy and security of sensitive proprietary data and the ethical...

BLOG

Six Providers of SFDR Reporting Solutions

Europe’s ESG regulatory space is dominated by the Sustainable Finance Disclosure Regulation, which requires listed companies in the bloc to declare the sustainability credentials of the funds they manufacture and the assets in which invest. Its intention is to give investors and advisers a clearer understanding of how sustainable investments are. Compliance requires the reporting...

EVENT

RegTech Summit London

Now in its 9th year, the RegTech Summit in London will bring together the RegTech ecosystem to explore how the European capital markets financial industry can leverage technology to drive innovation, cut costs and support regulatory change.

GUIDE

AI in Capital Markets: Practical Insight for a Transforming Industry – Free Handbook

AI is no longer on the horizon – it’s embedded in the infrastructure of modern capital markets. But separating real impact from inflated promises requires a grounded, practical understanding. The AI in Capital Markets Handbook 2025 provides exactly that. Designed for data-driven professionals across the trade life-cycle, compliance, infrastructure, and strategy, this handbook goes beyond...