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COVID-19 Resources

In light of the current COVID-19 pandemic, we are cancelling all in-person programs in 2020. However,  we have increased our webinars and released new web-based programs for the fund industry. To register for our virtual programs, please visit our Calendar of Events page. 

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.

MFDF Enhances the Governance of Mutual Funds | MFDF

Upcoming Events

Full calendar

City Background | MFDF

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.

View List 

 

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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