News

December 13, 2021

Mr. Zhu previously served as an academic expert for the Commodity Futures Trading Commission and the Bank for International Settlements and as a member of the Federal Reserve Bank of Chicago’s Working Group on Financial Markets.

December 9, 2021

his webcast will provide audit committees and management with insights on top-of-mind issues, including: the macroeconomic landscape, financial reporting and SEC developments, tax developments and policy impacts, and risk management issues.

December 8, 2021

The voting guidelines target several areas that are also of interest to mutual fund boards.

December 7, 2021

Join Paul Kraft, Tom Wines, and Katie Yorra as they discuss the latest findings from Deloitte's 19th edition Annual Fair Valuation Survey. The webinar will broadcast live from 2 pm - 3 pm (ET).

December 6, 2021

ETF Think Tank is hosted by K&L Gates’ Asset Management and Investment Funds group and features panelists representing a broad array of industry leaders across all segments of the ETF industry.

December 2, 2021

While these proposed changes and other technical amendments to Form N-PX would not impose new reporting requirements, they may impose expenses on fund complexes as they conform their reporting systems to the new requirements.

December 1, 2021

November 30, 2021

EY found that since 2018, more boards are expanding their evaluation process to include individual director evaluations. A majority (53%) of 2021 Fortune 100 proxy filers disclosed that they performed individual director evaluations along with board and committee evaluations, up from 24% in 2018.

November 29, 2021

The SEC also adopted final rules requiring parties in a contested election to use universal proxy cards that include all director nominees presented for election at a shareholder meeting.

November 24, 2021

Erica Y. Williams (Chairperson) spent more than a decade in various roles at the SEC, including as Deputy Chief of Staff to three former SEC Chairs and Assistant Chief Litigation Counsel in the SEC’s Division of Enforcement trial unit.

November 23, 2021

In 2021, and for the first time, the majority of S&P 500 companies (59 percent) disclosed the ethnic makeup of their boards, according to the report.

November 22, 2021

Under the proposal, lenders of securities would be required to provide the material terms of securities lending transactions to a registered national securities association, which would then make the material terms of the securities lending transaction available to the public.

November 18, 2021

The report identified areas where agency study, refined policy positions, guidance, and/or regulatory action(s) by the SEC or its staff may further advance fair competition and growth of small and diverse businesses in the asset management industry, while also supporting core investor protections.

November 17, 2021

Roisman stated that any new regulation should be principles-based and that the regulator should not try to set particular resource requirements for any entity.

November 16, 2021

The Investment Company Institute and the Independent Director Council recently released a report on common fund governance practices covering the period from 1994 through 2020.

November 15, 2021

Each summer MPI releases its "Survey of Mutual Fund Chief Compliance Officer Compensation and Organizational Practices", which provides aggregate compensation data received through confidential questionnaires from fund CCOs and other industry executives. This webinar will provide highlights from the most recent survey.

November 11, 2021

The pandemic environment is still filled with uncertainty, but what seems certain is most fund boards plan to incorporate virtual meetings into their annual agenda going forward.

November 10, 2021

Board audit committee oversight of the independent auditor is critical, Munter added, calling for “strong, active, knowledgeable independent audit committees.”

November 9, 2021

In this third session of the MFDF's ESG webinar series panelists will focus on the policy and practical issues surrounding proxy voting.

November 8, 2021

This webinar will provide an overview of how funds can obtain exposure to cryptocurrency and the factors boards should consider in evaluating plans to enter this asset class.