Gain Insights About Key Activities of ICI’s Broker-Dealer and Bank, Trust and Retirement Advisory Committees On Tuesday, July 10, the first in a series of webinars provided participants with timely information about key ICI Broker-Dealer Advisory Committee (BDAC) and Bank, Trust and...
This webinar provided fund directors with an update on the current litigation and regulatory enforcement environment for fund directors, funds, and fund advisers. The panel also discussed the role of indemnification and insurance in protecting fund directors and their funds...
On some occasions, a fund director may be involved in a litigation or SEC investigation—typically, not as a defendant, but as a third-party witness. So what happens in that situation? Experienced litigation and board counsel walked participants through what a director might expect if...
Complimentary Webinar for ICI’s Small Funds Committee Small Funds Committee members had the opportunity to gain important regulatory, operations, and research knowledge by participating in a complimentary ICI webinar on Tuesday, February 13, 2018. Members were permitted to ask...
Having passed its far-reaching tax bill, the Republican majorities in Congress have turned to pursuing reforms of the Dodd-Frank Act while dealing with the political complexities of legislating before midterm election this fall. Panelists Dean Sackett and Don Auerbach, co-leaders of...
