Welcome to the Mutual Fund Directors Forum, a nonprofit membership organization for investment company directors. MFDF promotes vigilant, dedicated, and well-informed independent directors and serves as their voice and advocate on important policy matters.
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Board Considerations for Oversight of Active ETFs
Forum Webinar Series
This webinar will focus on the issue of board oversight of active ETFs. The event will be broadcast live from 2:00 to 3:00 Eastern time on Wednesday, February 8, 2012.
Enforcement Update 2012
Forum Webinar Series
In recent months the SEC has articulated more clearly its enforcement priorities in the asset management industry. The SEC's new "Asset Management Unit" has brought a number of cases in the past months, signaling important trends. Join us for a discussion of recent SEC enforcement activities with Mark Schonfeld of Gibson Dunn, who is the former director of the SEC's New York Regional Office.
Whistleblower Rules—Time for an Ombudsman? Enter the Whisperblower.
Forum Webinar Series
The new whistleblower provisions adopted by the SEC under the Dodd-Frank Act may pose additional fund board oversight challenges. Join us as Marco Adelfio, a partner with Goodwin Procter, and Jon McBride, President of McBride Associates, discuss constructive options for fund directors.
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Forum News Feed
2011 Year-End Securities Enforcement Update
January 27, 2012
Gibson Dunn has produced a 2011 Year-End Securities Enforcement Update that provides a detailed summary of SEC enforcement actions over the past year. Gibson Dunn reports that the Enforcement Division reported a record high number of enforcement actions, 735, resulting in more than $2.8… read more
Former Evergreen Portfolio Manager Charged With Fund Pricing Violations
January 26, 2012
The SEC recently filed charges against Lisa Premo, a former portfolio manager of the Evergreen Ultra Short Opportunities Fund, for her role in the fund's pricing errors. According to the SEC, in early 2008, Ms. Premo learned that a collateralized debt obligation ("CDO")… read more
Upcoming Senate Hearing on Tax Treatment of Funds Investing Indirectly in Commodities
January 25, 2012
Tomorrow at 10 a.m., the Senate Permanent Subcommittee on Investigations will hold a hearing titled: "Taxation of Mutual Fund Commodity Investments." The hearing notice states that the hearing will examine "the issuance of over 70 private letter rulings by the Internal Revenue Service allowing mutual… read more