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2024 MPI Annual Mutual Fund CCO Compensation Survey
Management Practice Inc. (MPI) is currently working on their annual “Survey of Mutual Fund Chief Compliance …
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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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MFDF Webinar: Mutual Fund CCO Compensation: The MPI Annual Survey Update
The Mutual Fund Directors Forum and Management Practice (MPI) plan to host a webinar titled, “Mutual …
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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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Event of Interest: Dechert to Host Compliance and Regulatory Priorities Webinar
The webinar will focus on updates for compliance and legal professionals, but plans to cover recent and …
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Finra Reminds Members of the Scope of Rule Pertaining to Potential CCO Liability
The notice regarding CCO liability follows efforts to address concerns regarding increased enforcement …
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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 …
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Compliance Role, CCO Liability in Spotlight
Growing regulations and digital transformation are among the challenges facing the financial services …
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Paper Compares Compliance, Legal Officer Roles and Sees Broader Reach for CCO
A recent academic paper from Tamar Frankel, Professor of Law Emerita at Boston University, explores …
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Report Finds CCOs Still Concerned About Liability; Increased Number Made Changes to Compliance Programs
A yearly report from law firm DLA Piper detailed the results of surveys distributed to corporate in-house …