Top of the Agenda - Regulatory

Two new rule proposals spur concern over boards' workload
By Hillary Jackson
Concerns over mutual fund boards' workload are increasing in the wake of the Securities and Exchange Commission's release this week of two new rule proposals. "There is no question that there have been a lot of regulatory initiatives, and there is no question that boards' workload has gotten greater as a ...  >> CONTINUE READING <<<

 

 

Pros, cons of valuation rule: Update after 50 years
By Andrew J. Donohue & Kim E. Kaufman
This is the final installment in our 10-part 10in10 series, in which mutual fund industry lawyers Buddy Donohue and Kim Kaufman explore what they believe are the top 10 regulatory changes to have affected investment companies from 2010 to 2020. This week, the authors discuss good faith determination of fair ...  >> CONTINUE READING <<<

 

 

Derivatives framework adopted, 40 years on
By Andrew J. Donohue & Kim E. Kaufman
This is the ninth installment in our 10-part 10in10 series, in which mutual fund industry lawyers Buddy Donohue and Kim Kaufman explore what they believe are the top 10 regulatory changes to have affected investment companies from 2010 to 2020. This week, the authors discuss the use of derivatives by ...  >> CONTINUE READING <<<

 

 

Fund-of-funds arrangements: A modernized approach
By Andrew J. Donohue & Kim E. Kaufman
This is the eighth installment in our 10-part 10in10 series, in which mutual fund industry lawyers Buddy Donohue and Kim Kaufman explore what they believe are the top 10 regulatory changes to have affected investment companies from 2010 to 2020. This week, the authors discuss fund-of-funds arrangements.
 
Funds investing in other ...  >> CONTINUE READING <<<

 

 

Regulating closed-end funds, BDCs: An equal footing
By Andrew J. Donohue & Kim E. Kaufman
This is the seventh installment in our 10-part 10in10 series, in which mutual fund industry lawyers Buddy Donohue and Kim Kaufman explore what they believe are the top 10 regulatory changes to have affected investment companies from 2010 to 2020. This week, the authors discuss securities offering reform for closed-end investment ...  >> CONTINUE READING <<<

 

 


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Top of the Agenda - Governance
Q&A: Converting open-end funds to ETFs

Guinness Atkinson Funds made history last year when it completed the industry’s first conversions from open-end mutual fund to exchange-traded fund. Since then, a number of ...