News

Small funds face compliance resource crunch

Challenges include rising cost of experienced compliance staff

Jason Bisnoff 7:00 AM ET
Gender diversity; board succession

Report shows advances in fund board gender diversity

IDC survey shows stabilization of boardroom practices

Marissa Capodanno 17 October, 2017

ICI woos IOSCO in liquidity risk fight

Fund industry clashes with international regs over systemic risk

Stan Wilson 13 October, 2017

IM bills await Capitol Hill action

Pending legislation to address SLR, senior exploitation, SEC cybersecurity

Stan Wilson 13 October, 2017

Mairs & Power Funds board preps chair’s exit

Audit chair to assume chairman’s seat; New independent director identified

Marissa Capodanno 12 October, 2017

IDC signals future governing council leadership

Governing council’s incoming vice chair may take the lead next year

Marissa Capodanno 5 October, 2017

SEC extends loan rule relief

Indefinite loan rule exemption takes heat off fund firms

Stan Wilson 3 October, 2017

Survey: Valuation policy overhauls taper out

Ad hoc valuation meetings down YOY

Marissa Capodanno 28 September, 2017

IHS, MSCI collaborate on liquidity tool

Offering comes amid demand for outsourced option

Marissa Capodanno 27 September, 2017
Regulatory technology, mutual fund regulation

D&C board scoops up Stanford econ professor

Recruit hails from same institution as lead independent trustee

Marissa Capodanno 22 September, 2017
Dodge and Cox hires independent trustee from Stanford University

SEC breach strikes chord for industry

Clayton addresses possibility of delayed disclosure to deter hacks

Stan Wilson 21 September, 2017
Cyber hack, data breach

SEC fines SunTrust $1.1m over share class fees

The firm failed to recommend the cheapest possible shares to clients, the SEC said

Peter Rawlings 19 September, 2017
SEC, mutual fund industry regulator, mutual fund boards




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