Analysis

Evaluating sub-accounting fees in light of 2016 guidance

The 2016 guidance follows the highly publicized SEC sweep exam conducted during the past several years on the same topic and seeks to address and/or clarify for the industry certain issues that arose during that exam.

Fund Directions 21 March, 2016

Q&A: In the Hot Seat with Joe Allessie

The compliance officer role remains a relatively young one. In the early 2000s, Rule 206(4)-7 of the Investment Advisers Act

Marissa Capodanno 29 February, 2016

What fund directors need to know about robo-advisers

Robo-advisers have garnered significant attention in recent years, in particular for their potential to court Millennials and disrupt the wider

Marissa Capodanno 28 January, 2016

The top 5 issues facing mutual fund directors in 2016

As the mutual fund space steps into the New Year, fund boards face the annual task of prioritizing concerns for

Marissa Capodanno 17 December, 2015

Is there a way to rein in share class proliferation?

Share class names were once as simple as mystery novels: A for adviser sold, B for back-end load, C for

Paul Ellenbogen 14 December, 2015

Q&A: In the hot seat with Toby Rosenblatt

Veteran independent director Toby Rosenblatt from BlackRock Funds’ equity liquidity board has a message for the mutual fund industry’s incoming

Marissa Capodanno 14 December, 2015

OECD international regs could require disclosures from directors

Early adopters of the Organisation for Economic Co-operation and Development’s Common Reporting Standards, which will facilitate the exchange of personal

Marissa Capodanno 19 November, 2015

Q&A: In the hot seat with Sam Freedman

Looking back on 19 years as an independent director — and another 16 years in the industry before that —

Marissa Capodanno 29 October, 2015

Fund overseers wrap heads around swing pricing option

Pending approval of the Securities and Exchange Commission’s newly proposed liquidity risk management rules, fund boards may be faced with

Marissa Capodanno 22 October, 2015

Building an effective board: Managing transitions

By Susan Ferris Wyderko and Carolyn McPhillips

Fund Directions 24 September, 2015

How can directors help funds navigate liquidity concerns in bond markets?

Increased scrutiny spotlights the need to understand how funds measure and manage liquidity. Rob Haddad, vice president, Evaluated Services, at Interactive Data,

Rob Haddad 21 August, 2015

Conflicts of interest: When you’re having too much fun at that business lunch

Fund directors face challenging new hurdles to comply with the 1940 Act’s gifts and entertainment prohibition. In this month's Learning

Jay G. Baris 16 July, 2015




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