Oversight pros ask for early involvement tech discussions

Panelists debate best practices to encourage innovative, compliant tech

Marissa Capodanno 20 April, 2018

SEC votes to propose standard of conduct package

Board considerations include ability to sell funds, compliance costs, litigation risk

Marissa Capodanno 20 April, 2018

Neuberger’s Morriss wins Trustee of the Year

Governance professionals from Carillon, Advisers Series Trust, Simpson Thacher, PGIM take home top honors

Fund Directions 13 April, 2018

FSB touts progress combating systemic risk

Chairman’s letter to G20 is mum on SIFI designation

Stan Wilson 9 April, 2018

Tax reform could trip up funds

ICI says funds may be subject to taxes at corporate level if lawmakers don’t add interpretive rules

Stan Wilson 9 April, 2018

CCOs weigh what and when to report to fund boards

Many don’t distinguish between material and non-material compliance matters

Marissa Capodanno 9 April, 2018

Peirce finds industry support for bucketing

The commissioner supports repeal but warns that industry players may oppose

Stan Wilson 5 April, 2018

Enforcement eyes broader application for self-reporting technique

Current and former regulators debate reporting incentive, and uses beyond 12b-1

Stan Wilson 5 April, 2018

MFDF panel: Boards tackle liquidity vendor questions

Directors weigh third-party meetings, even though their approval isn’t required

Marissa Capodanno 27 March, 2018

Carillon’s James Pappas named Lifetime award recipient

As the lifelong educator approaches retirement, boardroom colleagues reflect on his leadership

Marissa Capodanno 26 March, 2018

Mutual Fund Industry Awards 2018 nominees announced

Twenty-fifth anniversary special

Marissa Capodanno 26 March, 2018

DIM focuses on oversight of valuation, affiliated transactions

Blass, Peirce address concerns director initiative shifts CCOs into regulator’s crosshairs

Marissa Capodanno 26 March, 2018

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