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Forum's Newer Director Guide (April 2013)

The Newer Director Guide is a comprehensive guide and reference for fund independent directors.

Drafted in partnership with Stradley Ronon LLP, this publication is an introductory guide designed for directors in their first years of service on a fund board.

The "Newer Director Guide" covers:

  • Introduction to Mutual Funds and Their Structure
  • A Practical Guide to the "15(C) Process" For Fund Directors
  • Fidelity Bond 
  • Director & Office/Error & Omission Insurance
  • Valuation of Portfolio Securities
  • Money Market Fund Valuation (Rule 2a-7)
  • Trading/Best Execution/Soft Dollar
  • Compliance Policies and Procedures
  • Best Practices and Practical Guidance for Directors under Rule 12b-1
  • Practical Guidance for Directors on Board Self-Assessments
  • Risk Principles for Fund Directors

The Newer Director Guide (April 2013 Edition)

  • All
  • Accounting and Audit
  • Advisory Contracts
  • Board Governance
  • Board Governance: Board Leadership
  • Board Governance: Compensation
  • Board Governance: Oversight of CCO
  • Board Governance: D&O Insurance
  • Board Governance: Self-Evaluation
  • Closed-end Funds
  • ETFs
  • Other Oversight
  • Other Oversight: Alternative Investments and Derivatives
  • Other Oversight: Custody
  • Other Oversight: Fixed Income funds
  • Other Oversight: Distribution
  • Other Oversight: Portfolio Trading
  • Other Oversight: Proxy Voting
  • Other Oversight: Securities Lending
  • Legislative News
  • Money Market Funds
  • Reference
  • Regulatory News
  • Risk
  • Shareholder Disclosure
  • Valuation
  • Webinars
  • Aaron New Tag