Industry Events

SEC Whistleblower Payouts and What It Means for You

The SEC recently announced that they awarded the single largest individual reward ever – a $50 million whistleblower award to an individual who recorded misconduct by a company. The SEC Whistleblower program has reached $500 million in total awards which has been proven to encourage the reporting of wrongdoing, in turn,  protecting investors and combating fraud. What […]

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FINRA Announces Fraudulent Email Phishing Campaign

Recently the Financial Industry Regulatory Authority (FINRA) announced that there are fraudulent email campaigns going around purportedly from them. These emails are posed to be from some of their officers including Bill Wollman and Josh Drobnyk. They are calling the target to act immediately and view attachments. FINRA requests that you do not open attachments or click links as […]

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Salvatore Faia to Speak at the ETF Regulations Readiness Summit

Update: This event has now passed. Please contact us for similar event recommendations. The ETF Regulations Readiness Summit will take place this year at the AMA Conference Center in New York City on April 28th. The conference will focus on Preparing for the ETF Rule and Active Non-Transparent ETFs. A number of important industry professionals will present, one […]

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Assessing Advisor Profitability: A Tricky Call for Independent Directors

This event has now passed. If you’d like to register for similar events, visit mfdf.org. The Mutual Fund Directors Forum will be hosting a webinar; “Assessing advisor profitability on a fund-by-fund basis before marketing expenses remains a key “Gartenberg” pillar of the advisory contract renewal process, but the statistics are often criticized as confusing at […]

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Nuts & Bolts of Being a Director

Update: This event has now passed. Please contact us for upcoming event recommendations or visit upcoming events hosted by Mutual Fund Directors Forum. Mutual Fund Directors Forum and Alison Fuller, a Partner at Stradley Ronon Stevens & Young LLP will be presenting “Nuts & Bolts of Being a Director” tailored for newer directors. Location: The […]

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Jennifer L. Klass Partner from Morgan Lewis will present “How it All Works”

Update: The event has now passed. Please contact us for upcoming event recommendations. On Friday October 18, 2013, Jennifer L. Klass a Partner from Morgan Lewis will be presenting “How it All Works -The Critical Roles and Responsibilities of Compliance” at the IA Compliance 101 Conference. Some of what will be covered: What to do […]

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IA Compliance – Fall Conference 2013

IA Watch’s 13th Annual Compliance Conference was located in Philadelphia, PA at The Westin Philadelphia. Below are the following things attendees learned during the conference: •Exclusive insights into emerging regulatory requirements •Strategies to use OCIE’s priorities list to master your next SEC exam •Practical suggestions for how to thrive under new JOBS Act rules •Dozens […]

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SEC – 2013 Mutual Funds and Investment Management Conference

The SEC hosted an event called “2013 Mutual Funds and Investment Management Conference” located in Palm Desert, California. It was on Monday March 18th from 8:30 p.m. to 9:00 p.m. Norm Champ, Director, Division of Investment Management hosted the event.   To register for similar events or if you have any questions, please contact Frances […]

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2013 MFDF Directors’ Institute

Updated: This event is now passed, if you would like to register for similar events, visit the MFDF website or contact us for suggestions for similar events. On January 29, 2013 through January 31, 2013 the Mutual Fund Directors Forum will hold the annual Directors’ Institute in Naples, Florida. The 2013 Directors’ Institute uses a […]

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