Hamilton Locke Partner, Simon Carrodus, was recently featured in a special episode of IMAP’s Podcast series, Independent Thought.
Simon Carrodus came together with Source Compliance Executive Director Jenny Mulders and Holley Nethercote Partner Jesse Vermiglio to discuss the ongoing Design and Distribution Obligations (DDO) for Managed Account Providers.
In the podcast episode, Simon, Jenny and Jesse delve into the ongoing DDO obligations for different managed account structures, address the compliance challenges faced by Managed Account providers, discuss the risks and consequences of non-compliance and offer best practices and strategies for effectively managing complaints and Target Market Determinations (TMDs).
The episode also informs Managed Account Providers about their ongoing DDO obligations for different managed account structures and provides guidance on maintaining compliance and best practices in the evolving regulatory landscape.
Click here to listen to the podcast.
