Forum News Feed

November 24, 2021

Erica Y. Williams (Chairperson) spent more than a decade in various roles at the SEC, including as Deputy Chief of Staff to three former SEC Chairs and Assistant Chief Litigation Counsel in the SEC’s Division of Enforcement trial unit.

November 23, 2021

In 2021, and for the first time, the majority of S&P 500 companies (59 percent) disclosed the ethnic makeup of their boards, according to the report.

November 22, 2021

Under the proposal, lenders of securities would be required to provide the material terms of securities lending transactions to a registered national securities association, which would then make the material terms of the securities lending transaction available to the public.

November 18, 2021

The report identified areas where agency study, refined policy positions, guidance, and/or regulatory action(s) by the SEC or its staff may further advance fair competition and growth of small and diverse businesses in the asset management industry, while also supporting core investor protections.

November 17, 2021

Roisman stated that any new regulation should be principles-based and that the regulator should not try to set particular resource requirements for any entity.

November 16, 2021

The Investment Company Institute and the Independent Director Council recently released a report on common fund governance practices covering the period from 1994 through 2020.

November 15, 2021

Each summer MPI releases its "Survey of Mutual Fund Chief Compliance Officer Compensation and Organizational Practices", which provides aggregate compensation data received through confidential questionnaires from fund CCOs and other industry executives. This webinar will provide highlights from the most recent survey.

November 11, 2021

The pandemic environment is still filled with uncertainty, but what seems certain is most fund boards plan to incorporate virtual meetings into their annual agenda going forward.

November 10, 2021

Board audit committee oversight of the independent auditor is critical, Munter added, calling for “strong, active, knowledgeable independent audit committees.”

November 9, 2021

In this third session of the MFDF's ESG webinar series panelists will focus on the policy and practical issues surrounding proxy voting.

November 8, 2021

This webinar will provide an overview of how funds can obtain exposure to cryptocurrency and the factors boards should consider in evaluating plans to enter this asset class.

November 4, 2021

Under the initiative, participating Marsh clients will engage with select international law firms to independently review, evaluate, and, in some cases, bolster their ESG frameworks.

November 3, 2021

According to media reports, more than 20 million shares of the ProShares Bitcoin ETF traded on its first day.

November 2, 2021

Panelists will provide some clarity around the largely positive data on the performance, expenses, and pricing of ESG products in the markets.

November 1, 2021

The staff also looked at fund governance practices, particularly as they relate to the deliberative processes utilized by funds and boards when overseeing compliance programs.

October 28, 2021

The report notes, for instance that 74% of survey respondents feel that the industry is “somewhat committed” or “committed” to making changes to improve DEI in the next year. The survey also reported that 43% of respondents in 2020 felt that their organization was successful in achieving a good diversity balance in all positions.

October 27, 2021

“January’s events gave us an opportunity to consider how we can further our efforts to make the equity markets as fair, orderly, and efficient as possible,” said SEC Chairman Gary Gensler.

October 26, 2021

The Forum is offering an ESG webinar series with three panels to address the different facets of ESG funds and governance.

October 25, 2021

The proposal would reverse a Trump administration rule that made it more difficult for 401(k) plans to offer investments based on ESG factors.

October 22, 2021

Partners from K&L Gates and other speakers will discuss the SEC’s derivatives rule and related compliance and risk management framework for investment advisers that use derivatives as part of their investment strategies in this webinar on Monday October 25, 2021 at 10 a.m.