Below is information about MUTUAL FUND COMPLIANCE OFFICER INDEPENDENCE AND CORPORATE GOVERNANCE from a variety of sources. Please take a look at the materials that our team has selected for you.
https://papers.ssrn.com/sol3/papers.cfm?abstract_id=1103293
We contend that the SEC and other international regulators could improve independence and corporate governance even further if they required mutual fund compliance officers to be totally independent of management, by not allowing them to be employees of investment adviser companies.The direct reporting relationship established by Rule 38a-1 …
https://onlinelibrary.wiley.com/doi/abs/10.1111/j.1467-8683.2008.00659.x
Theoretical/Academic Implications: The direct reporting relationship established by Rule 38a‐1 between mutual fund compliance officers and boards of directors sets the industry apart from corporate America, in general, where compliance/ethics officers typically report to management. We assert that the increased board involvement in ethics and …
https://www.researchgate.net/publication/4989203_Mutual_Fund_Compliance_Officer_Independence_and_Corporate_Governance
MUTUAL FUND COMPLIANCE OFFICER INDEPENDENCE AND CORPORATE GOVERNANCE Carroll, B. (2004) The Mutual Fund Trading Scandals, Journal of Accountancy 198, 32–36. The Mutual Fund Trading Scandals Jan 2004
https://www.deepdyve.com/lp/wiley/mutual-fund-compliance-officer-independence-and-corporate-governance-5xYBwPXYG6
Mutual Fund Compliance Officer Independence and Corporate Governance Hoffman, W. Michael; Neill, John D.; Stovall, O. Scott 2008-01-01 00:00:00 ABSTRACT Manuscript Type: Empirical Research Question/Issue: We examine recent SEC regulations that are intended to increase the independence of mutual fund compliance officers. Research Findings/Insights: …
https://www.idc.org/idc/faqs/mutual-fund-directors
https://www.ey.com/en_us/wealth-asset-management/esg-how-mutual-fund-boards-can-manage-risks-and-seize-opportunities
Governance: board independence and diversity, compensation, business ethics, cybersecurity, corruption and anti-money laundering ... Mutual fund directors take their compliance responsibilities very seriously and rely heavily on chief compliance officers (CCO) to assess whether and how processes, procedures and disclosures meet legal and ...
https://www.sec.gov/news/statement/supporting-role-of-chief-compliance-officers.html
June 29, 2015. Chief Compliance Officers of Investment Advisers (CCOs) [1] play an important and crucial role in fostering integrity in the securities industry. They are responsible for making sure that their firms comply with the rules that apply to their operations. As part of that effort, CCOs typically work with senior corporate leadership ...
https://www.sec.gov/rules/final/ia-2204.htm
Rule 38a-1 requires each fund to appoint a chief compliance officer who is responsible for administering the fund's policies and procedures approved by the board under the rule. 75 A fund's chief compliance officer should be competent and knowledgeable regarding the federal securities laws and should be empowered with full responsibility and authority to develop and …
https://papers.ssrn.com/sol3/cf_dev/AbsByAuth.cfm?per_id=39971
Mutual Fund Compliance Officer Independence and Corporate Governance. Corporate Governance: An International Review, Vol. 16, Issue 1, pp. 52-60, January 2008 ... Mutual Fund Compliance Officer Independence and Corporate Governance. This is a Wiley Blackwell - Medium Tier paper. Wiley Blackwell - Medium Tier charges $49.00 . ...
https://www.valuewalk.com/2015/03/disentangling-mutual-fund-governance-from-corporate-governance/
This Article argues that mutual fund governance should disentangle itself from corporate governance. Corporations have shareholders and customers—two groups distinct not only in law but the marketplace. Mutual fund investors are both shareholders of funds and customers of fund advisers. The product provided by fund advisers is investment …
Did you find the information you need about MUTUAL FUND COMPLIANCE OFFICER INDEPENDENCE AND CORPORATE GOVERNANCE?
We hope you found all the information about MUTUAL FUND COMPLIANCE OFFICER INDEPENDENCE AND CORPORATE GOVERNANCE you were looking for and more.
