News

SEC committee mulls fund fee dollar disclosures

Proposal aimed at increasing investor awareness, cost competition

Stan Wilson 11 April, 2016

Principal onboards institutional, retirement biz vet

Iowa-based fund group brings on new independent ahead of upcoming retirement

Marissa Capodanno 5 April, 2016
SEC Chair Mary Jo White

SEC’s White: Ask the tough questions early

Directors need to be proactive in light of August, December disruptions, chair says

Marissa Capodanno 31 March, 2016



Neuberger’s Colish recognized for a lifetime of achievement

Faith Colish, independent director at the Neuberger Berman Funds, has been named 2016’s Lifetime Achievement Award recipient and will receive

Marissa Capodanno 28 March, 2016

The 2016 Rising Stars of Mutual Funds

With the industry’s help, Fund Directions and Fund Action have continued our long tradition of identifying the up-and-comers deserving of

Joel Kranc 28 March, 2016

The 2016 Mutual Fund Industry Awards Nominees

The 23rd Annual Mutual Fund Industry Awards Nominees Each spring, Fund Directions partners with sister publication Fund Action to reflect

Marissa Capodanno 28 March, 2016

Outsourcing liquidity rule compliance seen as ‘failure’

The potential role of third-party vendors to aid fund firms in their compliance with the Securities and Exchange Commission’s proposed liquidity

Marissa Capodanno 24 March, 2016

Bloomberg tool could help with liquidity rule compliance

Bloomberg has launched a tool that can be used to help asset managers comply with the Securities and Exchange Commission’s proposed

Dervedia Thomas 22 March, 2016

Industry experts call for more flexibility in new SEC rules

The Securities and Exchange Commission should amend its liquidity risk management proposal to be less prescriptive, according to several industry

Danielle Kane 18 March, 2016

SEC signals more cyber security cases on horizon

More cyber security cases against investment managers could be coming down the pike, according to Securities and Exchange Commission officials

Danielle Kane 17 March, 2016

SEC: Tell investors about today’s market risks

The Securities and Exchange Commission’s Division of Investment Management has told firms that a change for the worse in market conditions

Marissa Capodanno 16 March, 2016

TCW Funds independent director resigns

Janet Kerr, an independent director on the TCW Funds board, has resigned from her post after five-and-a-half years. The board

Marissa Capodanno 10 March, 2016




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