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- Webinar Archive: Mutual Fund CCO Compensation: The MPI Annual Survey Update
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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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Participate in MPI’s Annual CCO Compensation Survey by May 19
Management Practice Inc. (MPI) is pleased to announce the 18th annual MPI Survey of Mutual Fund Chief …
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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 …
- Webinar Archive: CCO Compensation: The MPI Annual Survey 2022
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MFDF Webinar: Mutual Fund CCO Compensation
The Forum will host a webinar entitled, “Mutual Fund CCO Compensation: The MPI Annual Survey Update" …
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Event of Interest: Dechert to Host Investment Management Symposia
Dechert plans to host two “California Investment Management Symposia” events covering developments in …
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Participate in MPI’s Annual CCO Compensation Survey by May 27
Management Practice Inc. (MPI) is pleased to announce the 17th annual MPI Survey of Mutual Fund Chief …
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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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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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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 …
- Webinar Archive - Mutual Fund CCO Compensation: The MPI Annual Survey
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CCO Webinar 2021
MPI Survey of Mutual Fund Chief Compliance Officer Compensation and Organizational Practices …
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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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NY Bar Proposes Framework for SEC Actions Targeting CCOs
Among several recommendations, the city bar urges regulators to first consider whether charging the CCO …
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OCIE Chief Urges Firms to Value, Empower CCO
Driscoll encouraged firms to support their CCOs, explaining that an effective CCO should have confidence …
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MFDF Webinar: CCO Compensation: The MPI Annual Survey (2020)
This webinar will provide highlights from the most recent "Survey of Mutual Fund Chief Compliance Officer …
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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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MFDF Webinar: Mutual Fund CCO Compensation: The MPI Annual Survey (2019)
In June, the SEC adopted the long-awaited rulemaking package relating to the standard of conduct …