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Financial services / Funds / Hedge fund / Operational due diligence / Registered Investment Advisor / Financial adviser / Investment Advisers Act / Due diligence / Investment management / Financial economics / Investment / Finance


EXAMINATIONS OF CERTAIN ETFs AND THEIR ADVISERS
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Document Date: 2014-01-31 16:49:14

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Company

Hennessee Group LLC / Concern For Advisers Advisers / McKinsey & Company / Capital Gains Research Bureau Inc. / /

Currency

USD / /

Event

Product Issues / Person Communication and Meetings / /

IndustryTerm

real estate / venture capital / fund accounting / fund administration services / operational infrastructure / risk management systems / background check services / /

Organization

Division of Investment Management / Enforcement’s Asset Management Unit / office of Compliance Inspections and Examinations / Capital Gains Research Bureau / Division of Enforcement / Securities and Exchange Commission / Independent Administration / FINRA / /

Person

DUE DILIGENCE / DUE DILIGENCE PROCESSES FOR SELECTING / Charles J. Grandante / /

Position

independent administrator / Chief Compliance Officer / unknown/unqualified administrator / manager make appropriate changes / investment manager / manager / adviser and the manager / INVESTMENT ADVISER / administrator / outside auditor / unknown auditor / auditor / Manager personnel / Investment Adviser Public Disclosure website / adviser / Manager investment style / /

Product

compliance program / /

URL

http /

SocialTag