MFDF News Feed

April 20, 2021

SEC staff observed instances of potentially misleading statements regarding ESG investing processes and representations regarding the adherence to global ESG frameworks.

April 19, 2021

In the upcoming webinar, lawyers Joni Jacobsen, Neil Steiner and Curtis Weber will discuss the specific issues and concerns for private fund managers, and the potential securities litigation that can arise at each stage of the SPAC life cycle.

April 15, 2021

The article identifies four overarching dynamics that can hold boards back: deference to authority, groupthink, a preference for the status quo, and confirmation bias.

April 14, 2021

Gensler is expected to take up issues important to progressives such as disclosures related to climate risks and ESG.

April 14, 2021

The lobbying group said the alliance will support governments and institutions worldwide by informing and encouraging responsible crypto-related public policy, and will educate the public about crypto’s potential to create positive change.

April 12, 2021

During this webinar, Cohen & Company's team will provide a board-level discussion on tax topics that are most impactful to registered funds.

April 8, 2021

Governance experts from Deloitte acknowledged that as companies shifted to the virtual environment “boards and audit committees had to find new ways to engage with management and their auditors in order to effectively execute their oversight responsibilities.”

April 7, 2021

The machine-generated reports feed Morningstar’s fund analyst ratings, which run through gold, silver, and bronze to neutral or negative, but are separate from Morningstar’s star ratings system.

April 6, 2021

The paper describes two drivers as pivotal to women reaching executive roles despite barriers: hard-to-find sponsors leveling the playing field and certain innate personality traits.

April 5, 2021

Jan Hopkins, independent director of Franklin Templeton Investments, will discuss with Stephen Dover, chief market strategist at Franklin Templeton Investments, on emerging markets vs. other investments and how to to evaluation the portfolio management, risks, and investment process of the funds.

April 1, 2021

The report using data from FactSet said ESG-focused ETFs have 43% higher fees than popular standard ETFs, with the average fee at 0.2 compared to 0.14 for the standard U.S. large-cap ETF.

March 31, 2021

The data gathered will help Nicsa to benchmark where the industry is (and where it’s come from, and where it’s going) from a DE&I perspective.

March 30, 2021

Christopher Healey and Kate O’Neil from Simpson Thacher will provide an overview of recent trends in asset management M&A transactions and discuss related board governance considerations.

March 29, 2021

Join speakers as they discuss how an evolving competitive landscape creates new challenges for mutual fund boards and also for the SEC.

March 25, 2021

Only a handful of fund boards have brought on new directors since the pandemic caused the nationwide shutdown about a year ago. Overall, these boards report that the onboarding process has been a unique experience yet they have managed to successfully integrate their new members.

March 24, 2021

The DOL decision follows an executive order from the White House directing federal agencies to review certain existing regulations adopted during the Trump Administration.

March 23, 2021

The speech hinted at future rules and guidance to reflect current industry trends regarding proxy voting and corporate governance.

March 22, 2021

The staff has found that certain securities that may have previously been viewed as having readily available market quotations and being available to cross trade under rule 17a-7 may not meet the definition pursuant to the Valuation Rule.

March 18, 2021

FINRA discussed common sales charge discounts and waivers that mutual funds, 529 plans, non-traded REITs and non-traded BDCs may offer customers and the possible deficiencies in the execution of these discounts and waivers

March 17, 2021

The Climate and ESG Task Force will develop initiatives to identify ESG-related misconduct and will coordinate the effective use of Division resources, including through the use of data analysis to mine and assess information across registrants, to identify potential violations, the SEC said.