10 Things

10 Things...to know about the adviser's strategy

By FBV Staff
Top of the Agenda - Regulatory

SEC to advisers: Turn over 15(c) documents, info

By Hillary Jackson
A Seat at the Table

MassMutual Funds boosts age, race, background diversity

By Hillary Jackson
10 Things

10 Things...to consider about board configuration

By FBV Staff
Top of the Agenda - Succession

Frontier Funds nominee to add expertise, diversity to boardroom

By Hillary Jackson


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Top of the Agenda - Regulatory
SEC to advisers: Turn over 15(c) documents, info

The Securities and Exchange Commission has begun requesting documentation and information from mutual fund advisers about their funds' 15(c) processes and fees. The Division of Enforcement ...

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 ...