The Asia Regulatory and Policy Committee addresses key regulatory, legislative, and policy issues affecting regulated funds, their management companies, and their investors, as well as retail investors focused on the major jurisdictions in the Asia-Pacific.

The AML Compliance Working Group provides input to FinCEN and/or other regulators with respect to their AML rulemaking and other activities. Seeks guidance from regulators on AML requirements that raise particular issues for mutual funds. Serves as a forum for discussion of members’ U.S. AML and Countering Terrorist Financing (“CTF”) programs, as well as select global AML/FATF matters. Includes representatives from the legal, compliance, transfer agency and operations areas.

The Alternative Closed-End Fund Working Group provides a forum to raise, discuss, and address legal and operational issues related to interval funds, tender offer funds, and business development companies.

The Advertising Compliance Advisory Committee deals with SEC and FINRA regulatory and compliance issues that affect investment company and investment adviser advertising and marketing.

The Accounting/Treasurers Committee deals with accounting and financial reporting issues affecting open-end and closed-end investment companies and related SEC and GAAP regulations. The committee may also consider SEC reporting obligations, audit, and security valuation issues.