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K&L Gates Warns Companies of Aggressive Governmental Investigative Tactics
August 24, 2011
Investigations of public companies by government agencies have become more aggressive and are employing new tactics and techniqes. With recent market events and increased financial regulatory activity, funds and other financial firms are not immune from this renewed scrutiny. K&L Gates has published a short… read more
KPMG’s Spring 2011 Audit Committee Roundtable Report
August 23, 2011
This new Spring Roundtable Report from KPMG's Audit Committee Institute (ACI) highlights key insights and survey results from ACI's recent 27-city Spring Roundtable Series - "Changes and Challenges Driving the Audit Committee Agenda." These roundtable discussions revealed that, among other things, IT risk and… read more
FSB on Financial Stability Issues for Exchange Traded Funds
July 13, 2011
In a paper published in April, the Financial Stability Board examines the recent rapid growth and innovation in the market for Exchange Traded Funds (ETFs), and highlights a number of recent developments that call for attention by regulators, as well as by the ETF industry, including… read more
Finance Professors Look at Independent Directors and Risk Taking by Firms
July 11, 2011
In a newly published paper entitled, "Do Independence and Financial Expertise of the Board Matter for Risk Taking and Performance?" three professors of finance examine how board independence and the presence of financial experts among independent directors relate to risk taking and performance of commercial… read more
Forum Staff on Risk Governance by Fund Directors
June 23, 2011
In the May-June 2011 issue of "Practical Compliance & Risk Managment for the Securities Industry," Forum Senior Counsel, David Schwartz, and Forum Vice President and General Cousel, David Smith, published an article entitled "Risk Governance and Mutual Fund Directors." This article encapsulates the key themes… read more