Top of the Agenda - Governance

With ETF share class go-ahead in sight, what's a board to do?
By Hillary Jackson
The Securities and Exchange Commission seems poised to grant exemptive relief to one of the earliest applicants seeking to offer an exchange-traded fund share class, just weeks after acting Chairman Mark Uyeda told a fund industry conference the issue was a priority. As mutual fund independent directors wait along with ...  >> CONTINUE READING <<<

 

 

Viewpoints

Conflicts of Interest: Accountants
By Buddy Donohue
After exploring the potential conflicts of interest that investment advisers, broker-dealers, and lawyers have, we move on to consider potential conflicts involving accountants. In the previous articles, we were concerned with service provider conflicts and how those conflicts affected their ability to serve their clients. As you will see, conflicts ...  >> CONTINUE READING <<<

 

 

Viewpoints

Conflicts of Interest: Attorneys
By Buddy Donohue
Fund directors and others in the mutual fund industry almost always refer to the attorney that is providing advice to them as “our lawyer.” They will then tell you how experienced the attorney is, how broad her practice and that of her law firm is, and how she provides the ...  >> CONTINUE READING <<<

 

 

Top of the Agenda - Regulatory

Will Atkins' fund board service inform his time as SEC chair?
By Hillary Jackson
Paul Atkins is set to begin the confirmation process to become the next chairman of the Securities and Exchange Commission on Thursday when he appears before the Senate Banking Committee. Well known as cryptocurrency advocate, Atkins also has experience in the investment management business and has served as an independent ...  >> CONTINUE READING <<<

 

 


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Top of the Agenda - Regulatory
ICI pursues reforming, modernizing '40 Act

The Investment Company Institute this week made public a set of recommendations to reform and modernize the Investment Company Act of 1940, which has not been ...
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10 Women...who chair the Audit Committee

The percentage of female independent directors serving on mutual fund boards has increased impressively in recent years, jumping from about 20% 10 years ago to nearly 40% ...