4/12/2010
If you haven't had the experience yet, chances are there'll be a day when you must stand before a board of directors. Here are some tips to pull off the presentation with aplomb.Don't grandstand - and don't monopolize the time. "Less is more," says Debra Brown,president of Self Audit in Beverly Farm ...
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2/8/2010
Mutual fund boards are being urged to ask their principal investment adviser many questions about any fund subadvisers, including whether the fund's CCO has reviewed the subadviser's compliance program.You may wish to polish your due diligence efforts with some of the ideas contained in a new white ...
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08/25/2006
As the Aug. 21 deadline for comments on the SEC'sfund governance rule passed, much of the feedback was predictable - individual investors slammed the Commission for not doing enough, mutual funds and their lobbying groups opposed the rule's two controversial provisions, and some consumer advocates s ...
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08/21/2006
SECURITIES AND EXCHANGE COMMISSION17 CFR PART 270[Release No. IC-27395; File No. S7-03-04]RIN 3235-AJ05Investment Company GovernanceAGENCY:Securities and Exchange Commission.ACTION:Request for additional commentSUMMARY:On April 7, 2006, a federal appeals court invalidated certain amendments adopted ...
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08/15/2006
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07/14/2006
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05/12/2006
Many in the industry say the SEC's rule requiring mutual fund boards to have independent chairs and at least 75 percent disinterested directors is too onerous. John Bogle thinks it's a good beginning.Speaking at last week's forum on mutual fund fees hosted by the American Enterprise Institute, Bogle ...
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05/05/2006
In his first testimony before the House, SEC Chairman Christopher Cox said that the Commission may issue hedge fund regulation in as soon as nine months, although he would not elaborate on which aspects of the hedge fund industry such regulation might focus.In the meantime, Cox told the House Financ ...
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05/04/2006
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04/21/2006
Investment advisers have passed a great hurdle in meeting this month's annual review deadline, said John Walsh, chief counsel at the SEC's Office of Compliance Inspections and Examinations. But now is a "risky time" for advisers, as they try to implement many of their suggested changes and keep thei ...
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