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

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

Transamerica to pay $97m over faulty models

SEC found lack of reporting to fund boards

Jason Bisnoff 5 September, 2018

First Western pays $50k penalty for share class violations

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

Marissa Capodanno 4 September, 2018

Funds make progress setting up liquidity rule committees

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

Jason Bisnoff 31 August, 2018

Appeals court dismisses challenge to Hartford board

Decision rules argument for bifurcated fee analysis lacks precedent

Marissa Capodanno 23 August, 2018

BlackRock 36(b) trial focuses on adviser services

Head of mutual funds group calls fund board BlackRock’s ‘most important client’

Marissa Capodanno 22 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

Nom and gov committees weigh prior board experience

Sitting on a corporate or non-profit board can still be useful

Marissa Capodanno 14 August, 2018

SEC proposal revives debate over personalized fee disclosure

Reg. BI could lead to individual cost-of-investing disclosures

Peter Rawlings 13 August, 2018

Industry bristles at IA licensing rules

ICI and Sifma say state licensing requirements are sufficient

Peter Rawlings 13 August, 2018

Appellate Court sides with Sequoia Fund board

Ruling squashes shareholder challenge to independent directors’ impartiality

Marissa Capodanno 7 August, 2018

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