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MFDF - Mutual Fund Directors Forum - MFDF Webinar: Board Oversight of Sub-Advisers and What to Expect from the CCO

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MFDF Webinar: Board Oversight of Sub-Advisers and What to Expect from the CCO

The webinar will discuss oversight responsibilities of Board members with regard to sub-advisers, with a focus on the special compliance, independence, board reporting, and other issues presented. A panel of seasoned Chief Compliance Officers will provided practical insight on how to handle these responsibilities when considering the approval of new sub-advisers, as part of the 15(c) contract review process, and in monitoring the activities of sub-advisers. The webinar will also explore what the Board can expect from the CCO—from due diligence, portfolio and trade monitoring, policy development and testing, to code of ethics reviews—and the likely impact of new SEC rule proposals on sub-adviser oversight programs. The panel members will be: Philip Wellman of the MassMutual Funds, Frank Knox of John Hancock, and Kevin Gleason of Voya.

This webinar will be broadcast live on Wednesday, June 29, 2016 at 2 pm (ET). To register, click here.