MFDF Enhances the Governance of Mutual Funds

The Mutual Fund Directors Forum is an independent, non-profit organization that serves independent directors of mutual funds and other U.S. registered investment companies. The Forum seeks to enhance fund governance by building a strong community among independent directors through educational and networking opportunities and by providing directors with a strong voice in the key policy debates impacting directors’ effectiveness and the future of the fund industry.

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MFDF Enhances the Governance of Mutual Funds | MFDF

May 25, 2023 SEC Chair Gensler Delivers Remarks on Financial Market Risk, Resilience

SEC Chair Gary Gensler delivered remarks entitled “Lessons from Mrs. O’Leary’s Cow” which focused on risk in the financial markets and the role the Commission plays in supporting resiliency. He noted the Commission is focused on encouraging resiliency among financial system intermediaries (such as stock exchanges, clearinghouses, broker-dealers, investment advisers, and transfer agents), Treasury market reforms, central clearing and the settlement cycle, private funds, money market and open-end funds, and cybersecurity.

May 24, 2023 New York Attorney General Releases Legislative Language to Regulate Digital Assets at the State Level

According to a press release from the Attorney General’s office, the bill would “require independent public audits of cryptocurrency exchanges and prevent individuals from owning the same companies, such as brokerages and tokens, to stop conflicts of interest.” Additionally, the bill creates new regulatory responsibilities for crypto platforms, imposes prospectus and listing requirements, requires digital asset brokers to obtain and maintain custody of the digital assets, and strengthens the regulatory authority of the New York State Department of Financial Services to oversee the digital asset space.

May 23, 2023 Ropes & Gray Announces 2023 Webinar Series on ESG and Asset Management

Beginning on Thursday, May 25 and running through August, Ropes & Gray will host a series of webinars focused on the intersection of ESG policy and asset management. Program topics will touch on ESG and mutual fund directors, ESG considerations during the fundraising process for private funds, SFDR and other European considerations, the differences between the US and Europe and greenwashing.

May 22, 2023 ACA Hosts Webinar on Cyber and Compliance Challenges in Large Language Models

Tomorrow, ACA plans to host a webinar entitled “Managing the Cyber and Compliance Risks of ChatGPT and Other Large Language Models.” The program will focus on the impact the advancement of Large Language Models (LLMs) such as ChatGPT and OpenAI have on entity operation.

May 18, 2023 Event of Interest: EY to Host Webinar on Boards Enhancing Resiliency Through Risk Oversight

Ernst & Young plans to host a webinar entitled, “How boards can enhance resiliency through effective risk oversight.” The webinar will cover the current risk environment and discuss how boards can promote resiliency by helping anticipate, prepare for, and respond to a changing environment as a governance priority.

Upcoming Events

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Columbus June 1, 2023
Director Discussion Series - Open Forum (Columbus, OH)
The Forum will host an in-person Director Discussion Series lunch in Columbus, Ohio to facilitate discussions for independent directors and CCOs to discuss timely issues brought up by participants. The event will be in-person from 12:00 pm to 2:00 pm at the offices of Thompson Hine LLP in Columbus, Ohio.
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June 6, 2023
Latest Updates in Mutual Fund Litigation and Enforcement
Please join Dechert partners as they highlight mutual fund industry litigation from 2022 and provide a preview of what to expect in regulatory enforcement in 2023. The webinar will broadcast live from 2 pm - 3 pm (ET).
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June 8, 2023
SEC Staff Panel, Division of Examinations – IC Issues and Considerations for Fund Boards
The SEC Division of Examinations staff will discuss topical issues related to investment companies and their advisers, and considerations for independent fund directors and CCOs. The webinar will broadcast live from 2 pm - 3 pm (ET).
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MFDF Member Series - Leveraging MFDF Membership to Locate Future Directors

Leslie Beckbridge, MFDF's Operations and Member Services Manager, highlighted MFDF's Director Candidate Database, a service that provides curated candidate lists in response to member boards' requirements. The webinar provided an overview of the Database, discussed how members can use it as part of succession planning efforts, and shared insights to get the best results from your inquiry.

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DEI Resources for Fund Boards

Explore news and resources relating to diversity, equity and inclusion on fund boards.

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