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- Title
How to ensure that fund contractual provisions of the depositary duties are being met.
- Authors
Hamrock, John
- Abstract
This paper explores how to ensure that fund contractual provisions of depositary duties are being met. It focuses on the initial selection of a depositary, preparing contractual terms, conducting due diligence reviews, service level agreement (SLA) monitoring and annual compliance reporting. The paper concludes by discussing some of the proposed regulatory changes impacting depository liability and responsibilities in both the USA and in Europe.
- Subjects
UNITED States; MUTUAL funds; FIDUCIARY responsibility; CORPORATE finance; LEGAL deposit of books, etc.; CONTRACTS; LEGAL compliance; SERVICE level agreements; CUSTODIAL accounts
- Publication
Journal of Securities Law, Regulation & Compliance, 2010, Vol 3, Issue 2, p116
- ISSN
1758-0013
- Publication type
Article