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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 …
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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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SEC3 Outlines Questions to Consider for SEC Exam Preparedness
SEC Compliance Consultants (SEC3) recently published a tipsheet for SEC Exam Preparedness that covers …
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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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UMD April 2023 Agenda
ESG Oversight: The Fundamentals in an Evolving Space for Fund Boards April 12, 2023 – Washington, DC …
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MFDF Webinar Tomorrow: What to Expect When the SEC Calls
Willkie Farr & Gallagher partners will discuss what fund boards should know about the SEC’s examination …
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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 …