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 <<<

 

 

Added Perspective

Dropped case shows SEC focus on independent directors
By Dianne Descoteaux, MFDF
The U.S. Securities and Exchange Commission on July 11 dropped all charges against Pinnacle Advisors LLC's independent director and adviser officer defendants in the first case seeking to enforce the SEC's liquidity rule, which requires registered funds to manage liquidity risk. The impact of the case in the fund world ...  >> CONTINUE READING <<<

 

 

Added Perspective

Best protections for fund directors from SEC exams and enforcement
By Stradley Ronon
In the latest episode of Stradley Ronon's "Talking Investment Management" podcast, partners and former SEC staff members David Grim and Jan Folena are joined by Andrew (Buddy) Donohue, a former chief of staff for the Securities and Exchange Commission, former director of the SEC's Division of Investment Management, and current fund ...  >> CONTINUE READING <<<

 

 

Viewpoints

Rethinking experience requirements may broaden fund board diversity
By Anne Choe and Debbie Sutter, Simpson Thacher & Bartlett LLP
In 2015, our Simpson Thacher colleagues contended that recruiting younger directors could lead to more diverse fund boards, while also recognizing the inherent challenges involved in identifying a diverse pool of candidates. In light of the changing demographics of fund boards (or, more accurately, a lack thereof in certain respects), ...  >> CONTINUE READING <<<

 

 

A Seat at the Table

Dimensional, fund board ready early '26 ETF share class debut
By Hillary Jackson
Dimensional Fund Advisors is preparing to launch exchange-traded fund share classes of a selection of its open-end mutual funds in the early part of 2026, and the board that will oversee the multi-share class offerings is in step with that timeline, according to Stradley Ronon's Bruce Leto, independent board and ...  >> CONTINUE READING <<<

 

 


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A Seat at the Table
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Top of the Agenda - Governance
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After years of making gains in filling fund board seats, women and individuals representing minority groups lost significant ground in the most recent two-year period measured ...