Boards to get ‘first glimpses’ of liquidity programs this fall

Independent directors may not grant their approval until the last minute

Marissa Capodanno 20 July, 2018

SEC goes after sloppy soft dollar practices

OCIE found demonstrable best ex, disclosures and policies lacking in 1,500 recent exams

Stan Wilson 18 July, 2018

Industry urges research rule changes

Safe harbor proposal could significantly limit available info on new and small funds, ICI says

Stan Wilson 17 July, 2018

ICI, IDC offer suggestions on new loan rule prop

Ruling out irrelevant relationships could benefit board audit committees

Stan Wilson 13 July, 2018

AXA notches win for advisers, boards in 36(b) appeal

Court upholds deference to fund board; Attention turns to Hartford appeal

Marissa Capodanno 13 July, 2018

Columbia looks to shake up board evals

New board chair appoints ad hoc subcommittee to dig into governance issues

Marissa Capodanno 9 July, 2018

SEC proposes ETF rule, adopts interim bucketing fix

Commission plans to codify plain-vanilla ETFs, removes liquidity bucket disclosures

Stan Wilson 29 June, 2018

Webinar recap: Navigating challenges for startup funds

Speakers walk through regulatory, operational and distribution perks and pitfalls

Fund Directions 27 June, 2018

CCO comp jumped 7.1% in 2017

Popularity of restricted stock programs could be a contributor

Marissa Capodanno 26 June, 2018

Judging a service provider RFP

Board oversight of vendor review puts contestants in the spotlight

Marissa Capodanno 22 June, 2018

SEC fast tracks ETF rule, liquidity buckets’ demise

Commissioner Michael Piwowar’s July 7 resignation may have encouraged agency’s swift action

Stan Wilson 22 June, 2018

SEC examiners target cross-trade, fee disclosures

Texas-based Sage Advisory updates disclosures after deficiency letter

Jason Bisnoff and Peter Rawlings 20 June, 2018
Mutual fund regulation and governance

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