News

First steps: SEC delivers first of promises of relief to fund boards

Directors welcome positive first step, but call for more action around valuation guidance and other areas

Marissa Capodanno 3 hours ago

Board comp conversation turns to novel products

Comparisons between duties, pay at different kinds of funds are not apples to apples

Ben Sheng 15 October, 2018

Deloitte sees shift in fair valuation board reporting

Survey shows some boards don’t get detailed fair valuation info; increased use of liquidity data

Marissa Capodanno 11 October, 2018

Commissioner takes swipe at board diversity bill, ESG

Companies shouldn’t put ‘stakeholders’ ahead of shareholders, Peirce says

Marissa Capodanno 8 October, 2018

SEC enforcement chief touts non-monetary penalties

The agency is poised to release its 2018 enforcement report

Peter Rawlings 5 October, 2018

Long-sought ETF rule brings disclosure worries

The SEC earlier this year at last proposed a streamlined process for approving new ETFs

Peter Rawlings 3 October, 2018

Voya fined $1m in first identity theft rule enforcement action

Voya Financial Advisors settled SEC allegations stemming from a 2016 breach

Peter Rawlings 26 September, 2018

SEC cracks down on money laundering reporting with TD Ameritrade fine

The firm paid a $500,000 penalty after not filing suspicious activity reports

Peter Rawlings 25 September, 2018

Gender quotas, #MeToo and the mutual fund board

Fund directors look to address underrepresentation, discrimination and harassment

Marissa Capodanno 21 September, 2018

SEC revokes fund voting guidance

It just got harder for mutual fund managers to rely on proxy advisory firms

Peter Rawlings 21 September, 2018

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

Boards on lookout for impact of new SEC commissioner

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

Peter Rawlings 10 September, 2018
SEC, mutual fund industry regulator, mutual fund boards




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