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Asset Management Counsel Ed Baer Discusses ETF Rule Compliance in BoardIQ

Practices: Asset Management, Investment Management, Mutual Funds, ETFs & Closed-End Funds, Fund Boards of Directors / Trustees

A Sept. 29 BoardIQ article titled “ETF Compliance with 6c-11 in Three…Two…One” discusses the policies and procedures products falling under the ETF Rule should have in place ahead of the upcoming Dec. 23, compliance deadline, and guidance for fund boards. Insights from asset management counsel Ed Baer are included in the piece.

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