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SEC’s Activity in Second Half of 2021 Reflects a Busy Agenda
A Wall Street Journal report on the SEC’s latest rule proposals observed that the SEC’s moves result …
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A Primer on Quant Strategies and AI Funds from a Director’s Perspective
The paper describes the risks related to quantitative and AI strategies and oversight challenges for …
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Dechert Webinar: ESG Considerations for U.S. Asset Managers
In a webinar on May 19, 2020, Dechert lawyers will discuss how ESG awareness is becoming a priority for …
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MFDF Webinar: Advancing Diversity: Fund Board Composition Considerations for 2020 and Beyond
There is ever-rising pressure on boards to diversify, ensuring that the board is composed to include …
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Diligent to Host Webinar on Remote Meetings
Diligent will host a webinar on Tuesday March 24, 2020 at 10:00 a.m. highlighting the tools available …
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Members Exchange Expects to Launch in July
MEMX, a new independent stock exchange founded by large brokers including Charles Schwab and …
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ACA Compliance Releases Top Risk, Compliance Challenges for 2020
The current heightened risk climate has not erased the risk financial firms have been dealing with in …
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Do Board Gender Quotas Affect Firm Value? Academics Explore Effects of California Law
A paper by Clemson University researchers in the wake of a California law presents evidence on the effects …
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K&L Attorneys Suggest Oversight Strategies Amid Virus Crisis
In a recent publication, attorneys from K&L Gates discussed the SEC’s expanded relief for fund board …
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Draft Bill Calls for Diversity Considerations in Hiring of Subadvisers
At recent Capitol Hill hearings lawmakers discussed diversity in the financial services industry and …
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SEC Targets Misleading Fund Names in Request for Comments
The SEC is requesting public comment on its current requirements that restrict the use of potentially …
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MFDF Webinar: An Update on the SEC's Whistleblower Program
In 2011, the SEC launched a whistleblower program to incentivize individuals to report possible violations …
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Asset Management Mergers and the Challenges Ahead
As the industry absorbs news of yet another mega merger, commentators are beginning to consider the impact …
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MFDF Announces Wyderko’s Successor
The Mutual Fund Directors Forum has announced that Carolyn McPhillips, Senior Counsel of the Forum, will …