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MFDF and FUSE Research Fund Governance Survey on Committee Structures
MFDF has partnered with FUSE Research to collect data from fund boards on their practices around committee …
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SS&C Publishes White Paper on Interval Funds
The paper highlights the various structures that managers use to package liquid alternatives into retail …
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FUSE Research Releases Data on Age Distribution of Independent Fund Directors
According to the FUSE data, the average age of independent directors is 65.8 years. A little over …
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House Committee Releases Report on Index Providers and Asset Mangers Investment in Chinese Companies
The report found that in 2023, certain financial institutions provided $6.5 billion to 63 Chinese companies …
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Event of Interest: Ropes & Gray to Host Webinar on Use of AI in Investment Decisions
Ropes & Gray plans to host a webinar titled “Use of AI In Investment Decisions.” The program will examine …
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Division of Investment Management to Host Conference on Emerging Trends
The conference, started in 2023 by former IM Director William Birdthistle, will feature remarks from …
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DOL Releases Final Investment Advice Fiduciary Rule
The Department of Labor released a new set of rules for fiduciary investment advice titled, the “Retirement …
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SEC Releases Registered Fund Statistics Report
The Securities and Exchange Commission (SEC) released a new report titled “Registered Fund …
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MFDF Webinar: Fireside Chat with Former IM Director William Birdthistle
MFDF President Carolyn McPhillips will host a virtual fireside chat with former SEC Investment Management …
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House Financial Services Committee Holds Hearing on SEC’s Climate Disclosure Rule, Agency Overreach
During the hearing, which heard testimony from several witnesses including former acting SEC Chair Elad …
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Commission Charges First Stand-Alone Investment Advisor in Off Channel Communications Enforcement Action
The SEC’s sweep of off-channel communications enforcement actions over the past several years has now …
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PWC Releases 2023 Mutual Fund Directors Governance Survey
PWC recently released their “2023 Mutual Fund Governance Survey” which highlights how investor …
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SEC Announces Settlements for Marketing Rule Violations, Releases Marketing Rule Risk Alert
The SEC announced that it had settled charges against five registered investment advisers for violations …
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Highlights of SEC Speaks 2024
Among the highlights of the sessions, Chair Gensler offered a historical overview of securities laws …
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Dimon’s Annual Letter Highlights Challenges for Asset Management
In his annual letter to JP Morgan Chase & Co. shareholders, Chairman & CEO Jamie Dimon warned of several …
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SEC Voluntarily Stays Implementation of Climate Rule
The Securities and Exchange Commission (SEC) announced it would voluntarily stay the implementation of …
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MFDF Event: MPI's Annual Survey of Investment Firm Profitability and Economies of Scale
The webinar will highlight the latest from the MPI Annual Survey of Investment Firm Profitability and …
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MFDF Publishes Article on AI, What Fund Boards Need to Know
In early April, MFDF published an Investment Lawyer article titled, “Artificial Intelligence …
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Nasdaq Releases Article on Board Service During “Noisy” Times
The article notes that to fulfill their role, boards need to stay abreast of new developments and continue …
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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 …