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Fund Director's Guidebook, Fifth Edition
Paperback
Investing & FinanceManagementGeneral Law
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ISBN13: 9781639054268
Publisher: American Bar Association
Published: Apr 1 2025
Pages: 288
Weight: 0.85
Height: 0.60 Width: 6.00 Depth: 8.90
Language: English
This updated fifth edition reflects a large number of updates since 2015, covering significant completed and pending rulemakings and other initiatives by the SEC, including those relating to the following: liquidity risk and cybersecurity risk management; exchange traded funds; the use of funds of derivatives; fair valuation; funds investing in other funds; money market fund (MMF) reform fund names; environmental (including climate), social, and governance (ESG) investing; and industry developments including LIBOR transition, responses to the COVID-19 pandemic, and greater focus on diversity, equity, and inclusion.
To assist directors of investment companies registered under the Investment Company Act of 1940 in fulfilling their responsibilities, this guide provides:
- an overview of functions, responsibilities, and potential liabilities of fund directors, under both the federal securities laws (including the 1940 Act) and corporate law generally;
- information about the structure and operations of the board and its relationship to the investment adviser, the distributor, and others important to the fund;
- assistance to directors in discharging their responsibilities by providing them with enough information to enable them to understand their duties and to ask the right questions;
- suggestions as to how independent directors can best fulfill their responsibilities by reference to industry practice and legal requirements;
- and more.
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