Top of the Agenda - Regulatory

SEC names next IM Division director
The Securities and Exchange Commission today announced that Brian Daly will assume the top job at the Division of Investment Management next month. Daly, who has a background in private funds and compliance, will replace Natasha Vij Greiner. SEC Chairman Paul Atkins said in the announcement that Daly has "deep ...  >> CONTINUE READING <<<

 

 

Top of the Agenda - Governance

Saba-ASA battle: Vote on board size, Saba nominee tomorrow
By Hillary Jackson
Shareholders in ASA Gold and Precious Metals Ltd. are being asked to vote tomorrow to expand the size of the closed-end fund's board and elect a candidate put forward by activist investor Saba Capital Management. Should the proxy campaign succeed, it would give members backed by Saba a majority in a boardroom ...  >> CONTINUE READING <<<

 

 

Top of the Agenda - Regulatory

Greiner to leave SEC's IM Division next month
By Hillary Jackson
Division of Investment Management Director Natasha Vij Greiner will leave the Securities and Exchange Commission on July 4. She has worked at the SEC in various divisions and capacities for nearly 24 years and spent the last 15 months in her current position. An SEC spokesman declined to comment on ...  >> CONTINUE READING <<<

 

 

Top of the Agenda - Succession

Who's at the Table? Latest boardroom people moves
FBV's Who's at the Table? feature is where readers can stay up to date on the latest comings and goings in mutual fund boardrooms, as independent directors wrap up their service or take on new roles and responsibilities, and new individuals join the ranks of the fund independent director. Who's ...  >> CONTINUE READING <<<

 

 

A Seat at the Table

Trust for Professional Managers chair values diversity, strong relationships
By Hillary Jackson
When Erik Olstein was named the first-ever independent chairman of Trust for Professional Managers this spring, he took leadership of "a really good, diverse team of different experiences and backgrounds." Diversity of perspective in the boardroom is important to Olstein, as are strong—and deep—working relationships among board members, counsel, and ...  >> CONTINUE READING <<<

 

 


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