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Forum's Newer Director Guide

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

Newer Director Guide (September, 2010 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

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