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John P. Falco Quoted in ACA Insight Article, 'Examiners Will Target Certain Types of Mutual Funds, ETFs and Their Advisers'

12/05/2018
John P. Falco Quoted in ACA Insight Article, 'Examiners Will Target Certain Types of Mutual Funds, ETFs and Their Advisers'

John P. Falco, a partner in the Financial Services Practice Group of Pepper Hamilton, was quoted in the November 19, 2018 ACA Insight article, "Examiners Will Target Certain Types of Mutual Funds, ETFs and Their Advisers."

Pepper Hamilton partner John Falco suggested that the Risk Alert “indicates that the SEC staff is continuing to use its data analytics tools to identify areas of risks and funds for exam particularly with respect to identifying aberrational performance and allocations. With the N-PORT filings required next year the staff will have more data, on a more timely basis (monthly) to analyze and identify areas for exam focus.”

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