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

June 10, 2021 Dear Board Doc: Getting Referred for that Next Board Seat

Boards may use recruiters, candidate databases, as well as personal networks of their members to find potential candidates.

June 9, 2021 Nicsa’s Diversity Project North America Hosts Event for Global Asset Management Industry

The Fearless Leadership Symposium is the first and only national conference focusing solely on Diversity, Equity and Inclusion (DEI) issues specific to the global asset management and fund industry.

June 8, 2021 Fund Executives Charged with Misleading Investors Regarding Risks in Funds

According to the SEC’s complaint, LJM adopted a short volatility trading strategy that carried risks that were remote but extreme.

June 7, 2021 Cybersecurity A Top Issue in Washington

“Boards should ask tough questions about whether their policies and procedures effectively address their company’s security risks and whether actual security practices effectively address the threats they face,” the FTC staff advised.

June 3, 2021 K&L Gates Webinar on June 8: Preparing for Crypto Regulation

K&L Gates speakers will discuss what is on the horizon for cryptocurrency and how market participants can help make a positive impact on the expected legislative and regulatory scrutiny.

Upcoming Events

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June 16, 2021
Director Discussion Series - Open Forum via Zoom
DDS Meetings provide a venue for independent directors and CCOs to discuss timely issues with peers and experts. This Zoom meeting will be held from 3:15 pm to 4:15 pm (ET).
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June 17, 2021
Proposed HSR Rule Changes: Impact on Asset Management
Join Deidre Johnson and Michael Doherty, partners with Ropes & Gray, discuss the latest FTC proposed changes to the Hart-Scott-Rodino Act regulations, and how it will impact mutual funds if enacted. The webinar will broadcast live from 2 pm - 3 pm (ET).
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July 13, 2021
Director Discussion Series - Open Forum via Zoom
DDS Meetings provide a venue for independent directors and CCOs to discuss timely issues with peers and experts. This Zoom meeting will be held from 3:15 pm to 4:15 pm (ET).
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Newest Resources

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COVID-19 Resources for Fund Directors

MFDF aims to keep fund directors up to date on relevant regulatory and business topics during the global health crisis. This list of resources provides information on regulatory relief and guidance, commentary on legal, strategic and governance matters, as well as asset management industry news. As we update this list, we will post the updates via our Forum News Feed daily blog.

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What Fund Directors Need to Know about AI and Quantitative Investing

In March 2020, Brian Bruce, CEO & CIO of Hillcrest Asset Management, and Korok Ray, Ph.D., Associate Professor and Director of the Mays Innovation Research Center at Texas A&M University, published their paper titled "Fund Board Oversight of Artificial Intelligence and Quantitative Investments" to address mutual fund directors as they are increasingly asked to oversee funds that use artificial intelligence and quantitative methods to manage investments. With the growth of artificial intelligence and quantitative strategies such as smart beta, fund directors must understand the basis of these technologies to properly govern the funds they oversee.

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