Complying with SEC Rule 22 c-2 poses undeniable challenges and costs for mutual fund companies. But as you work to find the most effective way to comply, don’t limit your opportunities by falling prey to tunnel vision. Ultimately, Rule 22c-2 boils down to a reconfiguration of the relationships that underpin fund wholesaling. This means that client relationship management (CRM) can play an important role both in making these changes and in deriving optimum value from the new insights they provide. In this paper, we provide an overview of the rule, the opportunities it creates and best practices on how CRM technology can be used to best exploit those opportunities.
You will learn:
- What Rule 22c-2 means to you and your firm
- The risks and costs associated with non-compliance
- How complying with Rule 22c-2 can help you better manage your broker network
- The role CRM software can play in helping you remain in compliance
For the first time have the transparency and information they need to gain insight into their end investors. Even if all you have is a taxpayer identification number and trade activity records, you have a new wealth of data to mine to learn more about how, when, and in what quantifies different investors are choosing to buy and sell your funds.