Topic Index

Accounting and Audit

Investment company accounting and financial topics and issues, including: board oversight of fund auditors, fund financial matters, and audit committee resources.

Trigger Advisory Contracts

Board oversight of advisers and subadvisers, including approval of advisory contracts, analysis of fund fees and performance, and fund fee litigation.

Fee Litigation

Opinions, filings, and analysis of litigation related to fund fees, and director oversight of fund advisory relationships.

Sub-Advisors

Guidance and materials on board oversight of sub-advisory relationships.

Trigger Disclosure

Investment company disclosure guidance, issues, rules, and regulations.

Prospectus and SAI

Rules and guidance on investment company registration statements and disclosures.

Proxy Disclosure

Rules and guidance for investment company proxy statement disclosures.

Trigger Distribution

Board oversight of fund distribution, including Rule 12b-1 fees.

Rule 12b-1

Guidance and materials for directors on Rule 12b-1 fees and plans.

Trigger Governance

Fund governance guidance and matters, including board leadership, composition, assessment, and oversight responsibilities.

Board Leadership

Management and composition of a fund board, including resources for independent chairs and lead independent directors

Closed-end Funds

Guidance and resources for closed-end registered investment companies.

Compensation

Director and trustee compensation resources and issues.

Compliance

Director oversight of the compliance function, including resources for chief compliance officers.

D&O Insurance

Director and officer insurance resources, including fidelity bonds, and director liability.

Mergers

Mergers and consolidations of funds and advisers.

Self-Evaluation

Guidance and resources on board self-evaluation and director qualifications and continuing education.

Money Market Funds

Board oversight of money market funds, including rules and regulations, money market fund developments, guidance, and emerging issues.

Trigger Portfolio Oversight

Guidance for boards in overseeing their funds' portfolios, including best execution, custody, ETFs, fixed income issues, proxy voting, soft dollars, and valuation issues.

Best Execution

Board responsibilities and duties regarding best execution of portfolio trades.

Complex Securities

Derivatives, synthetic positions, and structured investment products.

Custody

Board responsibilities and duties for oversight of custodial arrangements.

ETFs

Resources and materials relating to Exchange Traded Funds.

Fixed Income Funds

Resources and issues related to fixed income portfolios.

Proxy Voting

Resources and guidance for voting proxies of porfolio securities.

Securities Lending

Guidance for directors on oversight of fund securities lending programs.

Soft Dollars

Director oversight of soft dollar arrangements.

Valuation

Board duties and responsibilities for oversight of valuation policies and procedures.

Trigger Reference

Financial reference materials for fund boards, including relevant legislation, rules, regulations, and interpretations.

Financial Market Legislation

Legislation and alternatives for regulation of the financial markets.

Glossaries of Fund Industry Terms

Links to definitions of fund industry terms, jargon, and acronyms.

Newer Directors

Resources for directors in their first two years of service on a board.

Securities Law and Regulations

Statutes, regulations, and interpretive guidance governing the US securities markets and its participants.

Risk

Risk governance guidance and materials for fund boards.

Webinars

Archives of the Forum's webinar series, Issues and Insights on Your Schedule.

Director Resources

The Directors' Resource Center is a library of links grouped by topic. It is designed to provide members with quick and easy access to regulatory pronouncements, guidance, opinions, analysis, and other resources. The content of the Resource Center is focused on the needs of fund independent directors and is driven by suggestions and requests from the Forum's members.

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Recent Additions

2012 Directors’ Institute Case Study Materials

Participant Materials for the 2012 Directors' Institute read more

Current Developments for Audit Committees

In September 2011 PWC issued its quarterly update for fund audit committee members. read more

Exclusively for Forum Members: Side A Difference in Coverage Policy for Independent Directors

A new insurance coverage benefit is now available to the Forum's member independent directors. read more

Panel - Board Oversight of Performance: Morningstar Stewardship Grades

Presentations and audio archive from October 11, 2011 MFDF/Morningstar Board Oversight of Performance program. read more

Panel - Board Oversight of Performance: Categorization of Funds