About The Author

Kevin Cloonan

About Kevin Cloonan

In his role as Compliance Officer, Kevin is responsible for trade surveillance as it relates to Regulations 22c-1 and 22c-2. He also manages a staff of Compliance & Risk Analysts. Prior to joining Boston Financial in 2008, Kevin held positions at The McNamara Group, Computershare and Putnam Investments. He holds a bachelor's degree in Business Administration from State University of New York at Albany.

Category: Compliance, Industry Trends

Is 22c-2 Still Relevant? 10 Years of Intermediary Transparency

Nearly ten years after SEC Rule 22c-2 went into effect, the SEC is still focusedĀ  on frequent trading that negatively impacts long-term investors. While the mutual fund environment has changed…

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