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FINRA Podcast: Role of SIPC in Protecting Brokerage Accounts
March 18, 2009
In the most recent of FINRA's investor education podcasts, experts, Dan Rutherford and Susan Sarver, discuss the role of the Securities Investor Protection Corporation (SIPC) in protecting investors' brokerage accounts if the brokerage firm fails. SIPC, created in 1970, is a… read more
Mutual Funds and Financial Fragility
January 13, 2009
In a recent article, Knowledge@Wharton, the Wharton School's online business journal, highlighted a paper entitled, "Payoff Complementarities and Financial Fragility -- Evidence from Mutual Fund Outflows," authored by Wharton finance professor Itay Goldstein and coauthors Qi Chen, from Duke… read more
Stradley Ronon: Seven Things Directors Should Know About D&O Insurance
December 07, 2008
Stradley Ronon's Craig R. Blackman and Heather M. Tashman have written a short piece, "Insurance and Banking Coverages: Seven Things Fund Directors and Trustees Should Know," alerting investment company directors to key points they should consider when renewing or obtaining new… read more
Compliance Consultant’s View of Securities Lending Risks
November 07, 2008
In a recent compliance alert, ACA Compliance Group took a look at the risk environment surrounding fund securities lending programs, finding that, "[t]he risks associated with a firm's securities lending program appear to be on the rise due to issues such as:" (1)… read more