Forum News Feed

May 6, 2021

Even as boards begin to plan their first in-person meetings, many are retaining innovative practices from 2020.

May 4, 2021

A survey sponsored by the Nationwide Retirement Institute found millennial investors’ financial optimism declined 24 percentage points to 38% in 2020, from 62% in 2019.

May 3, 2021

The SEC also announced that Alex Oh resigned her position as Director of the Division of Enforcement. According to media reports, Oh resigned after a judge questioned her conduct in recent litigation.

April 29, 2021

Institutional Investor reports that current requests for proposals for the Illinois State Universities Retirement System and the Ohio Public Employees Retirement System also included questions on company diversity.

April 28, 2021

Fed Chairman Powell and Vice Chair Quarles have publicly stated their support for federal legislation to mitigate risks related to legacy contracts.

April 27, 2021

Morningstar's Russ Kinnel explains why some portfolio management team changes might lead to a change in a fund’s “People” rating while others may not.

April 26, 2021

Reuters reports that the Infinity Q case raises questions over whether independent parties that oversee funds do enough to independently confirm portfolio pricing.

April 22, 2021

Consistent with the adopted rule and the discussion in the related release, the staff is withdrawing staff statements relating to section 18 and section 12(a) of the 1940 Act.

April 21, 2021

Proposal would require firms to file for antitrust review any time a manager’s collective funds reach certain thresholds, in some cases holdings of more than 10% of a company.

April 20, 2021

SEC staff observed instances of potentially misleading statements regarding ESG investing processes and representations regarding the adherence to global ESG frameworks.

April 19, 2021

In the upcoming webinar, lawyers Joni Jacobsen, Neil Steiner and Curtis Weber will discuss the specific issues and concerns for private fund managers, and the potential securities litigation that can arise at each stage of the SPAC life cycle.

April 15, 2021

The article identifies four overarching dynamics that can hold boards back: deference to authority, groupthink, a preference for the status quo, and confirmation bias.

April 14, 2021

Gensler is expected to take up issues important to progressives such as disclosures related to climate risks and ESG.

April 14, 2021

The lobbying group said the alliance will support governments and institutions worldwide by informing and encouraging responsible crypto-related public policy, and will educate the public about crypto’s potential to create positive change.

April 12, 2021

During this webinar, Cohen & Company's team will provide a board-level discussion on tax topics that are most impactful to registered funds.

April 8, 2021

Governance experts from Deloitte acknowledged that as companies shifted to the virtual environment “boards and audit committees had to find new ways to engage with management and their auditors in order to effectively execute their oversight responsibilities.”

April 7, 2021

The machine-generated reports feed Morningstar’s fund analyst ratings, which run through gold, silver, and bronze to neutral or negative, but are separate from Morningstar’s star ratings system.

April 6, 2021

The paper describes two drivers as pivotal to women reaching executive roles despite barriers: hard-to-find sponsors leveling the playing field and certain innate personality traits.

April 5, 2021

Jan Hopkins, independent director of Franklin Templeton Investments, will discuss with Stephen Dover, chief market strategist at Franklin Templeton Investments, on emerging markets vs. other investments and how to to evaluation the portfolio management, risks, and investment process of the funds.

April 1, 2021

The report using data from FactSet said ESG-focused ETFs have 43% higher fees than popular standard ETFs, with the average fee at 0.2 compared to 0.14 for the standard U.S. large-cap ETF.