10 Things

10 Things...to know about the adviser's strategy
By FBV Staff
While mutual fund boards do not oversee the advisers of the funds under their purview, boards do work closely with advisers. Therefore, it's important for the board to understand the adviser's strategy, since the way the adviser approaches the market—and the resource levels it commits to specific initiatives—affects the funds ...  >> CONTINUE READING <<<

 

 

Top of the Agenda - Regulatory

SEC to advisers: Turn over 15(c) documents, info
By Hillary Jackson
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 is issuing the requests, and while it's not exactly clear what prompted the effort, many are pointing to remarks Investment Management Division Director William ...  >> CONTINUE READING <<<

 

 

A Seat at the Table

MassMutual Funds boosts age, race, background diversity
By Hillary Jackson
Susan Sweeney, independent chair of MassMutual Funds, is looking forward to heading to Boston in September for the board's first in-person meeting since December 2019—provided it goes ahead as planned. The group around the table will look a little different, as three new independent directors will be attending their first-ever ...  >> CONTINUE READING <<<

 

 

10 Things

10 Things...to consider about board configuration
By FBV Staff
Mutual fund boards deal with an array of issues in their oversight duties, and it’s important to have a group of people who are qualified and competent sitting around the table. But what does that mean? Does the boardroom need to be filled with individual subject matter experts, or should ...  >> CONTINUE READING <<<

 

 

Top of the Agenda - Succession

Frontier Funds nominee to add expertise, diversity to boardroom
By Hillary Jackson
The board of Frontier Funds is asking shareholders to elect a new independent director to begin serving on Jan. 1, 2023, following the retirement of a 20-year veteran who currently is lead independent director. If elected, the new hire will bring investment management strategy oversight, leadership, and distribution experience to ...  >> CONTINUE READING <<<

 

 


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Most Read

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 ...