Viewpoints

Conflicts of Interest: Fund officers and directors, service providers
By Buddy Donohue
Over the past several weeks, I have written articles exploring conflicts of interest that could challenge a variety of financial industry participants. Those articles explored potential conflicts for fund investment advisers, securities broker-dealers, attorneys, and accountants. In this final article of the series, I will be discussing some of the ...  >> CONTINUE READING <<<

 

 

Top of the Agenda - Governance

Industry lawyer, SEC alum Plaze steps off WisdomTree Trust
Fund industry lawyer and former regulator Robert Plaze, who spent three decades at the Securities and Exchange Commission before entering private practice, has resigned from the WisdomTree Trust board after serving for just one year. It is unclear when, or if, his seat will be filled. Although the adviser, WisdomTree ...  >> CONTINUE READING <<<

 

 

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 <<<

 

 


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