Calls for Market Structure Review at House-Hosted Round Table - brev.is/A_69 Jul 31, 2014

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Events

Sep
09

Director Discussion Series - Open Forum

Minneapolis, MN

This event is a small, informal discussion forum for independent directors and CCOs.

Sep
10

Stewardship Grades and Parent Ratings: How Morningstar Evaluates Investment Firms

Forum Webinar Series

Morningstar has long maintained that investors have better experiences when they partner with strong stewards of capital. Morningstar’s comprehensive evaluation of asset-management firms includes an examination of each company’s Corporate Culture, Fund Board Quality, Fund Manager Incentives, Fees, and Regulatory History. Learn how Morningstar evaluates investment managers and hear about industry standards and best practices.

Sep
17

Money Market Fund Reform: What the Board Needs to Know

Forum Webinar Series

In July the Securities and Exchange Commission adopted amendments to its money market fund rules that will require institutional prime money market funds to use a variable net asset value instead of a stable $1.00 per share. The new rules will also allow the boards of all money market funds to impose liquidity fees and redemption gates to address the risk of runs. Joan Swirsky, a partner with Stradley Ronon, will explain the added obligations the new rule amendments will place on fund boards.

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Director Discussion Series - Minneapolis
Stewardship Grades and Parent Ratings: How Morningstar Evaluates Investment Firms
Money Market Fund Reform: What the Board Needs to Know
Director Discussion Series - Greenwich, CT
Director Discussion Series - Washington, DC

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Calls for Market Structure Review at House-Hosted Round Table

July 31, 2014

The leaders of several exchanges and trading firms recently expressed support for a review of market structure. Speaking at a roundtable hosted by Congressman Scott Garrett (chair of the Capital Markets Subcommittee of the House Financial Services Committee) Jeffrey Sprecher, the Chair of IntercontinentalExchange Inc.,… read more

Director of SEC’S Division of Investment Management Highlights Industry Outreach, Recent Guidance

July 30, 2014

The SEC’s Director of the Division of Investment Management, Norm Champ, recently spoke at the Insured Retirement Institute Government, Legal & Regulatory Conference. Champ emphasized the Division of Investment Management’s efforts at industry outreach and monitoring. He discussed the Division’s efforts to stay abreast of… read more

Treasury Secretary Encourages Enhanced Cybersecurity Efforts, Increased Information Sharing

July 29, 2014

In a recent speech, Treasury Secretary Jack Lew called on the financial sector to step up efforts on cybersecurity. Lew cited recent events such as the Target data breach and over 250 attacks aimed at overwhelming the systems of banks and credit unions to… read more

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