TITLE

SEC Chair: Independent Mutual Fund Directors Need to Improve Their Oversight

AUTHOR(S)
Hume, Lynn
PUB. DATE
October 2004
SOURCE
Bond Buyer;10/22/2004, Vol. 350 Issue 31995`, p4
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
Encourages the independent directors of mutual fund boards to enhance their oversight activities to comply with regulatory reforms of the Securities and Exchange Commission in the U.S. Identification of areas to established industry standards; Participation of mutual fund directors on emerging compliance issues; Consideration of a proposal requiring the registration of hedge fund advisors.
ACCESSION #
14815253

 

Related Articles

  • SEC to Hold First National CCO Outreach Seminar. Barney, Lee // Money Management Executive;10/3/2005, Vol. 13 Issue 37, p5 

    Reports on the hosting of national CCO Outreach Seminar by the Securities and Exchange Commission in the U.S. Acceptance of registrations online and giving priority to chief compliance officers; Discussion of latest policy related to mutual funds; Exploration of the importance of effective...

  • Rep. Oxley Predicts Congress Will Give SEC More Power. Hume, Lynn // Bond Buyer;3/10/2004, Vol. 347 Issue 31838, p5 

    No abstract available.

  • Broker Settles with SEC for Market Timing. Abramovich, Giselle // Money Management Executive;11/21/2005, Vol. 13 Issue 44, p1 

    Reports that Securities and Exchange Commission has issued an order instituting administrative proceedings pursuant to a section of the Securities and Exchange Act of 1934 in the U.S. Enforcement of remedial actions against Kraig L. Kibble, the former director of operations for National Clearing...

  • SEC Seeks Input on New Release About Soft Dollar Arrangements. Hume, Lynn // Bond Buyer;10/21/2005, Vol. 354 Issue 32243, p40 

    Reports on the solicitation of public comments on an interpretative release that would limit the use of soft dollar arrangements by the Securities and Exchange Commission in the U.S. Opportunity of mutual fund advisers to receive products and services from broker-dealer in exchange for executing...

  • Star Creation: The Incubation of Mutual Funds. Palmiter, Alan R.; Taha, Ahmed E. // Vanderbilt Law Review;Oct2009, Vol. 62 Issue 5, p1485 

    The article discusses important issues concerning mutual funds in the U.S. It mentions that the trend for mutual fund firms to promote their funds on the basis of past performance due to their significant returns, can become a significant regulatory concern for the Securities & Exchange...

  • CCOs Feeling Heat from Examiners. Burke, Kevin // Money Management Executive;4/18/2005, Vol. 13 Issue 15, p1 

    The article reports that the days of the U.S. Securities and Exchange Commission's (SEC) five-year examination cycle are over, as more stringent oversight has set forth a new regime under which mutual fund chief compliance officers must keep their heads on a swivel. In keeping with marching...

  • Two Investor Groups Want to Support SEC Rule in Court. Hume, Lynn // Bond Buyer;9/23/2005, Vol. 353 Issue 32224, p5 

    Reports on the support of the Consumer Federation of America and Fund Democracy Inc. to a rule developed by the U.S. Securities and Exchange Commission (SEC). Requirement of the rule for mutual funds and fund boards to be independent from management; Challenge posed by the U.S. Chamber of...

  • Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Fee Pilot Program for NASDAQ Last Sale. O'Neill, Kevin M. // Federal Register;4/2/2013, Vol. 78 Issue 63, p19772 

    The article offers information on a public notice issued by the U.S. Securities and Exchange Commission on March 27, 2013. It reports that the government agency has proposed a rule change for the investment firm NASDAQ Stock Market LLC to extend the fee pilot program for NASDAQ last sale under...

  • How Deep Should SEC Go? O'Hara, Neil // U.S. Banker;Mar2004, Vol. 114 Issue 3, p14 

    Reports on the request of the U.S. Securities and Exchange Commission (SEC) for improved governance, more disclosure and tighter procedures under new rules to curb abuse in the mutual fund scandal. SEC's plan to implement reinforcement actions; Insights of fund shareholder advocacy group Fund...

Share

Read the Article

Courtesy of VIRGINIA BEACH PUBLIC LIBRARY AND SYSTEM

Sign out of this library

Other Topics