COVID-19 Resources
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.
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.
Upcoming Events
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December 1, 2020
Director Discussion Series - Open Forum via Zoom (Philadelphia)This DDS meeting is for independent directors and CCOs based in the Philadelphia area to discuss timely issues with peers and experts. This Zoom meeting will be from 11:15 am to 12:15 pm (ET).
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December 3, 2020
Considerations for Institutional Investors Seeking Exposure to Crypto AssetsValerie Dahiya with Perkins Coie, LLP will discuss the latest developments in cryptocurrency and blockchain. The webinar will broadcast live from 2 pm - 3 pm (ET).
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December 8, 2020
Director Discussion Series - Open Forum via Zoom (Florida)This DDS meeting is for independent directors and CCOs based in Florida to discuss timely issues with peers and experts. This Zoom meeting will be from 11:15 am to 12:15 pm (ET).
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Newest Resources
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November 18, 2020
Webinar Archive: Mutual Fund Litigation and Enforcement Update: Lessons from 2020 and a Preview of 2021
Dechert partners will highlight mutual fund industry litigation from 2020 and provide a preview of what to expect in regulatory enforcement in 2021. The webinar originally aired on Tuesday, November 17, 2020.
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November 13, 2020
Webinar Archive: CCO Compensation - The MPI Annual Survey (2020)
This webinar summarized the findings from MPI's recent annual survey of mutual fund Chief Compliance Officer compensation. The webinar originally aired on Thursday, November 12, 2020.
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November 12, 2020
Webinar Archive: The New Normal in Governance
Dr. Deborah Rubin with RHR International discusses governance trends across boards and lessons learned during the pandemic. The webinar originally aired on Tuesday, November 10, 2020.
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.
Compliance Risks & Considerations During COVID-19
The SEC’s OCIE recently issued a risk alert on COVID-19 compliance risks and considerations for broker-dealers and investment advisers. In this risk alert, OCIE identified six areas where broker-dealers and investment advisers should focus compliance efforts in these difficult times: (1) protection of investors’ assets; (2) supervision of personnel; (3) fee, expense, and financial transaction practices; (4) investment fraud; (5) business continuity; and (6) protection of investor and other sensitive information. In a recent MFDF webinar, lawyers from Perkins Coie discussed OCIE’s considerations and reviewed specific actions and reviews within these categories that broker-dealers and investment advisers might consider conducting.
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