News

Mutual fund regulation and governance

SEC examiners target cross-trade, fee disclosures

Texas-based Sage Advisory updates disclosures after deficiency letter

Jason Bisnoff and Peter Rawlings 12:29 PM ET

Baxter retires from MFDF board

Nationwide Funds’ Kay Dryden prioritizes tech, DIM’s director outreach in new role as MFDF board chair

Marissa Capodanno 18 June, 2018

SEC says ‘numerous’ firms self-reported share class violations

Which firms took advantage of incentive may become clear in settlement orders

Marissa Capodanno 15 June, 2018

Boards scrutinize evolving value strategies

Open communication, clear disclosures are key, but performance risk remains, attorneys say

Marissa Capodanno 14 June, 2018

Amundi Pioneer ESG priorities include board diversity

Fund firm emphasizes board makeup, green initiatives in ESG push

Dervedia Thomas 13 June, 2018

Industry pros say ETF rule proposal coming this fall

DIM’s anticipated proposal might eliminate active, passive distinctions

Julie Mansmann 8 June, 2018

SEC approves Rule 30e-3 — with Stein’s help

Chairman calls e-delivery a ‘first step’ in reassessing fund disclosures

Stan Wilson 8 June, 2018

Boards factor ETFs into mutual fund fee determinations

15(c) experts debate comparing mutual fund, ETF performance and fees

Marissa Capodanno 7 June, 2018

Met-West motion ties client privilege war

Court contradicts earlier PIMCO ruling by upholding fund board’s privilege claim

Marissa Capodanno 5 June, 2018

Is 36(b) drying up?

Litigators advise boards to brace for new twists in excessive fees plaintiffs’ strategies

Marissa Capodanno 1 June, 2018

SEC to address shareholder report delivery

Fees for paper delivery of fund documents among industry’s top concerns on issue

Stan Wilson 31 May, 2018

ICI Chair to regulators: Don’t worry about redemptions

Ted Truscott says regulators are overly concerned about investor panic

Fund Directions 24 May, 2018




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