Top of the Agenda - Succession

New chair, new independent at Hartford Funds
By Hillary Jackson
The Hartford Funds board has weathered a generational shift in the past several years, and with the hiring of a new independent director this month and a new chair at the helm, it looks to be set for at least the near future with eight independents and one interested director. ...  >> CONTINUE READING <<<

 

 

Top of the Agenda - Succession

Morgan Stanley Funds board nominates two

By Hillary Jackson
The board of Morgan Stanley Funds recently concluded a year-long search for new independent directors, nominating two for election by shareholders next month. Provided they are approved, the all-independent board, which oversees 78 funds, will grow to 11 members. The vote is scheduled for Feb. 25.
 
The board's governance committee began ...  >> CONTINUE READING <<<

 

 

Top of the Agenda - Regulatory

2010-2020: A decade of regulatory developments
By Andrew J. Donohue & Kim E. Kaufman
There certainly has been considerable change over the past 10+ years in the investment company industry and its regulation. From 2010 to 2020, the net assets of mutual funds increased from $11.8 trillion (8,523 funds) to $23.9 trillion (9,027 funds), and exchange-traded funds increased from $1 trillion (950 ETFs) to ...  >> CONTINUE READING <<<

 

 

Viewpoints

A look at 2022: What fund boards can expect this year
By Rachael Schwartz, Sullivan & Worcester LLP
If 2020 was unprecedented, 2021 wasn't far behind. Like all other businesses, mutual fund boards shifted gears, adopted new technologies, and what was previously unimaginable became the norm. So, what will stay and what will go as the pandemic eases its grip?
 
After 18 months of working under a variety of ...  >> CONTINUE READING <<<

 

 

Top of the Agenda - Regulatory

Industry keen for SEC to name new DIM chief, perturbed about delay
By Hillary Jackson
The extended delay in naming a director for the Securities and Exchange Commission's Division of Investment Management is causing frustration and anxiety among mutual fund industry participants concerned that the nearly $30 million market in which they operate is being regulated by an entity without a leader. "We have a ...  >> CONTINUE READING <<<

 

 


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Top of the Agenda - Regulatory
2010-2020: A decade of regulatory developments

There certainly has been considerable change over the past 10+ years in the investment company industry and its regulation. From 2010 to 2020, the net assets ...