Opinion

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Survey: Director concerns for liquidity proposal

Tell us what you think mutual fund directors are most concerned about in the Securities

Marissa Capodanno 5 April, 2016
Community

Survey: Director concerns for liquidity proposal

Tell us what you think mutual fund directors are most concerned about in the Securities and Exchange Commission‘s liquidity risk management proposal

Marissa Capodanno 5 April, 2016

April Breakfast Briefing: Fair Valuation and Mutual Fund Use of Pricing Services

Fair Valuation and Mutual Fund Use of Pricing Services Date: Tuesday, April 12, 8:30am Eastern Venue: The Harvard Club of New York, 35 W 44th St, New

Marissa Capodanno 28 March, 2016
CommunityAwards

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

Fund Directions 21 March, 2016

Editor’s note – March 7, 2016

This week Fund Directions looks at expectations for the so-called liquidity rule proposal’s liquidity bucket requirement. According to Division of Investment Management Director David Grim, speaking

Marissa Capodanno 7 March, 2016

March Breakfast Briefing Announced

Join Fund Directions for our New York Breakfast Briefing, featuring a panel-led discussion and informal networking.   Tackling The SEC’s Fund Liquidity Management Plans The Securities

Marissa Capodanno 7 March, 2016

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In this month’s feature, we explore governance roles, expectations and relationships. Joe Allessie, Americas chief compliance officer at UBS Asset Management, describes how the CCO

Marissa Capodanno 29 February, 2016

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As the Securities and Exchange Commission plows through its 2016 regulatory agenda, industry experts predict the so-called derivatives rule — which includes a bevy of

Marissa Capodanno 22 February, 2016

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Much of the fund industry has panned swing pricing, one of the more novel ideas to crop up in the Securities and Exchange Commission’s liquidity

Marissa Capodanno 16 February, 2016

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This week Fund Directions takes a close look at a new shareholder suit alleging excessive fund fees. It’s an unusual case for a handful of

Marissa Capodanno 8 February, 2016



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