Derivatives rule redux to revisit director role

New proposal may be ready by year-end, with more sensitivity to oversight approach

Marissa Capodanno 14 September, 2018
SEC, mutual fund industry regulator, mutual fund boards

Elad Roisman joins amid pending Reg Best Interest, rule to govern ETFs

Peter Rawlings 10 September, 2018

SEC found lack of reporting to fund boards

Jason Bisnoff 5 September, 2018

SEC found lack of reporting to fund boards

Jason Bisnoff 5 September, 2018

Fund shop didn’t disclose 12b-1 shares, said its b-d didn’t receive comp when it did

Marissa Capodanno 4 September, 2018

Compliance teams will be integral to fund liquidity programs, in collaboration with other departments

Jason Bisnoff 31 August, 2018

The path to digital: Boards prep for e-delivery discussions

The fall board agenda item raises questions about shareholder demographics, potential cost savings

Marissa Capodanno 17 August, 2018

Flexibility: Perk and pitfall of ETF proposal

Allowing advisers to get creative with custom baskets could introduce conflicts of interest

Marissa Capodanno 20 July, 2018

Judging a service provider RFP

Board oversight of vendor review puts contestants in the spotlight

Marissa Capodanno 22 June, 2018

FD explores cyber reporting; new trustees at Capitol Series Trust; a favorable court decision for Sequoia; and e-delivery plans

Marissa Capodanno 17 August, 2018

In the age of blockchain, cryptocurrency and artificial intelligence, boards grapple with their relationship with technology

Marissa Capodanno 23 July, 2018

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