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Join the Mutual Fund Directors Forum in Washington DC March 7-8 for the Fund Governance and Regulatory Insights Conference
The conference will allow fund directors, CCOs, and industry colleagues to engage with key topics and …
- Webinar Archive - Fund Compliance: CCO vs. Trustee Perspective
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Fund Compliance-CCO vs Trustee Perspectives
PowerPoint Presentation How do Trustees get the most out of their Interaction with the CCO? …
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MFDF Webinar: Fund Compliance: CCO vs. Trustee Perspectives
On Thursday, November 30 at 2:00pm ET, the Mutual Fund Directors Forum plans to host a webinar …
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SEC Charges Trustees, Adviser with Liquidity Rule Violations
The Securities and Exchange Commission announced charges against Pinnacle Advisors LLC for “aiding and …
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SEC EXAMS Division Releases Risk Alert on MNPI
The SEC staff found evidence of advisers that “did not have policies and procedures in place to assign …
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Dear Board Doc: How Do We Set our CCO Compensation Competitively?
In considering the CCO’s compensation, the board has an interest in establishing a compensation structure …
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Risk Alert Identifies Deficiencies in Compliance Programs, Board Practices
The staff also looked at fund governance practices, particularly as they relate to the deliberative processes …