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Compliance Reporter | Vol., Issue. | | Pages 10-10
Document Your Form-Filling Process, CCOs Advised.
The article reports that fund firms confronting a wave of regulatory filings and tricky interpretative questions are advised not to answer the questions or document the process through which they arrived at their answers. The idea reportedly is to demonstrate that a question was answered in good faith, even if a regulator considers the answer incorrect. Documentation will be helpful with complicated forms because it allows a company to trace its thinking about questions open for interpretation.
Original Text (This is the original text for your reference.)
Document Your Form-Filling Process, CCOs Advised.
The article reports that fund firms confronting a wave of regulatory filings and tricky interpretative questions are advised not to answer the questions or document the process through which they arrived at their answers. The idea reportedly is to demonstrate that a question was answered in good faith, even if a regulator considers the answer incorrect. Documentation will be helpful with complicated forms because it allows a company to trace its thinking about questions open for interpretation.
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