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Filter By DEI Resources
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Event of Interest: K&L Gates to Host Webinar on AI Regulatory, Compliance Issues for Asset Mangers
Panelists will discuss the future of SEC regulation of AI and predictive data analytics, congressional …
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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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SEC Settles Charges with 16 Firms for Recordkeeping Failures
On February 9, the Securities and Exchange Commission (SEC) announced the latest round of settlements …
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MFDF Webinar: Potential Hurdles of Investment in China and other Emerging Markets
Ama A. Adams, Managing Partner at the Ropes & Gray Washington, DC office and Paulita A. Pike, Managing …
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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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2024 FGRI Agenda
2024 Fund Governance and Regulatory Insights Conference March 7-8 | Park Hyatt Hotel, Washington, DC …
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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 Enforcement Director Delivers Remarks on Compliance Programs, Professionals
Gurbir Grewal the Director of the Division of Enforcement at the Securities and Exchange Commission …
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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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Nasdaq Publishes Paper on Third Party Risk and Board Oversight
The paper highlights that boards “play a crucial role in ensuring the companies they oversee are performing …
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MFDF Webinar: SEC Division of Examinations Staff Panel – Investment Company Issues and Considerations for Fund Boards
Tomorrow, June 8 the SEC Division of Examinations staff will discuss topical issues related to investment …
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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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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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Event of Interest: Ropes & Gray to Host Webinar on “Creating a Culture of Compliance”
Ropes & Gray plans to host a webinar entitled, “Creating a Culture of Compliance” which will discuss …
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Event of Interest: Incident Response Forum Ransomware Conference
Cybersecurity Docket will host the 2023 “Incident Response Forum Ransomware” virtual conference which …
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Gensler Delivers Remarks on Compliance
SEC Chair Gary Gensler delivered a speech to attendees at the Compliance Outreach Program of the …
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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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U.S. and Chinese Regulators Reach Agreement on Oversight of Audit Firms Based in China
After months of negotiations, the PCAOB, the China Securities Regulatory Commission, and the Ministry …