Top of the Agenda - Governance

Morgan Stanley Funds board to oversee new ETFs

By Hillary Jackson
Top of the Agenda - Regulatory

Fund industry pushes back on ESG disclosure, names rule proposals

By Hillary Jackson
Top of the Agenda - Succession

SPDR shareholders to vote on independent, interested nominees

By Hillary Jackson
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


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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 ...