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Filter By DEI Resources
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SEC Office of Minority and Women Inclusion Releases 2022 Annual Report
The Securities and Exchange Commission (SEC) Office of Minority and Women Inclusion (OMWI) released its …
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MFDF Event: Interval and Tender Offer Funds: An Introduction for Fund Boards
Tomorrow, Jay Spinola, partner at Willkie Farr & Gallaher LLP, will provide an overview of interval and …
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SEC Proposes Changes to Reg S-P, Require Written Policies and Procedures for Cybersecurity Incidents
The Securities and Exchange Commission proposed rules that would amend Regulation S-P and require …
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Yellen Delivers Remarks on Non-Bank Financial Risks, Open-End Funds
Secretary Yellen noted that for regulators, “policy is not aimed at preventing external shocks nor eliminating …
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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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Gensler Testifies in Front of House Appropriations Committee on SEC Budget Requests
SEC Chair Gary Gensler's written testimony noted the Commission requested funds to grow division staff …
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Hughes Hubbard Releases “How to ESG: A Resource Guide for Establishing an ESG Program for Your Company”
The ESG Guide makes suggestions such as who within the organization should participate in the ESG program …
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MFDF Co-Sponsoring Hybrid ESG Program -- ESG Oversight: The Fundamentals in an Evolving Space for Fund Boards
The program includes discussions surrounding new and proposed SEC rules, industry data requirements, …
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Commissioner Uyeda Delivers Remarks at ICI Investment Management Conference
Commissioner Mark Uyeda's remarks noted the blistering pace of rulemaking, and he went further to …
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MFDF Webinar: Impact of Market Performance on 2022 Annual Investment Firm Profitability and Economies of Scale
The discussion will focus on the impact of market performance and increased SEC scrutiny and …
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Birdthistle Addresses Technology, Changing Demographics at ICI Conference
Director William Birdthistle's remarks focused on three key areas: technological advancement, changing …
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SEC Reopens Comment Period for Cybersecurity Risk Management Proposal
The Commission states the reopening of the comment period “will allow interested persons additional time …
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House Capital Markets Subcommittee Leaders Send Letter to Gensler on Swing Pricing
House Financial Services Subcommittee on Capital Markets Chair Ann Wagner (R-MO) and Ranking Member Brad …
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UMD April 2023 Agenda
ESG Oversight: The Fundamentals in an Evolving Space for Fund Boards April 12, 2023 – Washington, DC …
- Webinar Archive: Fallout from the SEC's Swing Pricing and Hard Close Proposals: Operational Hurdles Boards Need to Know
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Proposed Swing Pricing and Hard Close Requirements
Proposed Swing Pricing and Hard Close Requirements On November 2, 2022, the SEC proposed amendments …
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MFDF Webinar: “Fallout from the SEC’s Swing Pricing and Hard Close Proposals”
The March 16 webinar will examine the real world operational challenges mutual funds face if proposed …
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SEC Proposes Changes to Advisers Act Custody Rule
The Commission recently proposed changes to the Custody Rule (Rule 206(4)-2) of the Investment Advisers …
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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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Morgan Lewis Releases Report on SEC Exams and Enforcement Developments
Of relevance to fund directors, the report highlights a summary of ESG-related enforcement actions including …