Fund website regulatory requirements
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How this library is organized, what the priority levels mean, and why a failover site has to be complete.
What this covers
A hot-swap failover site must, on its own, carry every legally required disclosure for every fund it covers, at the same URLs as the primary site, with data no older than the rule allows. When the primary is down, the failover site is the fund's website of record; anything missing from it is a live compliance gap. Marketing content can be dropped on failover; the requirements in this library cannot.
A site covering ETFs, mutual funds and money market funds must meet all three sets. Pages that don't apply to a client's fund types are hidden from that client's checklist.
Why the failover must be complete
Rule 498 and Rule 30e-1 treat a temporary outage as compliant only if the fund has reasonable procedures to keep materials available and acts promptly once it knows they are not. A tested failover site is the core of those procedures. Rule 6c-11 (ETFs) and Rule 2a-7 (money market funds) have no comparable safe harbor in their text, so daily ETF and MMF data is the highest-risk content on failover.
Reading a requirement
Each requirement has an ID by scope: GEN (all sites), MF (all open-end funds, including ETFs), ETF (Rule 6c-11 ETFs), MMF (money market funds), REC (recommended), Q (open questions for counsel).
| Priority | Meaning |
|---|---|
| Required | Expressly required by rule; missing it is a compliance failure |
| Conditional | Required only when a trigger occurs or the fund opts in |
| Recommended | Not mandated, but expected, or needed to keep a promise made elsewhere |
| Open question | Needs an answer from fund counsel or the CCO before the build is final |
Items flagged Counsel to confirm rest on an interpretation that fund counsel should sign off.
Confirming requirements
Clients sign in to their own checklist, which shows only the requirements for their fund types. Each requirement can be marked Confirmed, Not applicable (with a reason), or Gap found (with a description). Every change is recorded with a name and time. If a requirement's wording changes later, earlier confirmations are flagged for re-review.
This is reference material, not legal advice. Fund counsel and the CCO own the final interpretation.